Malloy Kirk's Form 4/A amendment
AmendedNS Wind Down Co., Inc. (NSTG) · filed Oct 21, 2021
- Accession no.
- 0001401708-21-000216
- Filed
- Oct 21, 2021
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Sep 15, 2021
This filing lists no transactions. It carries over 5 transactions from the original filing that it did not restate. Open-market sales total $178.1K.
This amendment restates part of 0001401708-21-000212 (filed Sep 15, 2021). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Malloy KirkCIK 0001326794 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001401708-21-000212 (filed Sep 15, 2021).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 13, 2021 | Common Stock | MOption exerciseAcquired | +1,500 | $16.36 | +$24,540 | 8,010 | Direct | |
| Sep 13, 2021 | Common Stock | MOption exerciseAcquired | +1,500 | $22.30 | +$33,450 | 9,510 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −3,000 | $59.37 | −$178,110 | 6,510 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 13, 2021 | Common Stock | MOption exerciseDisposed | −1,500 | $16.36 | −$24,540 | 2,435 | Direct | |
| Sep 13, 2021 | Common Stock | MOption exerciseDisposed | −1,500 | $22.30 | −$33,450 | 7,111 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The Form 4 filed on September 15, 2021 inadvertently misstated the number of securities beneficially owned by the Reporting Person following the transactions. The number reported in column 5 of this Form 4/A represents the amount of securities beneficially owned by the Reporting Person as of September 13, 2021.