Bailey K Thomas's Form 4 filing
NS Wind Down Co., Inc. (NSTG) · filed Nov 19, 2021
- Accession no.
- 0001401708-21-000227
- Filed
- Nov 19, 2021
- Trade date
- Nov 17, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $366.6K. It was filed 2 days after the trade.
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 |
|---|---|
| Bailey K ThomasCIK 0001432055 | Officer (Chief Financial Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 17, 2021 | Common Stock | MOption exerciseAcquired | +5,937 | $8.16 | +$48,445.92 | 5,937 | Direct | |
| Nov 17, 2021 | Common Stock | MOption exerciseAcquired | +1,906 | $23.34 | +$44,486.04 | 7,843 | Direct | |
| Nov 17, 2021 | Common Stock | SSaleDisposed | −7,365 | $46.68F2 | −$343,798.2 | 478 | Direct | |
| Nov 17, 2021 | Common Stock | SSaleDisposed | −478 | $47.66F3 | −$22,781.48 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 17, 2021 | Common Stock | MOption exerciseDisposed | −5,937 | $8.16 | −$48,445.92 | 3,959 | Direct | |
| Nov 17, 2021 | Common Stock | MOption exerciseDisposed | −1,906 | $23.34 | −$44,486.04 | 10,167 | 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.
- F2
The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $46.24 to $47.19, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
Referenced by the price of 1 transaction in Table I.
- F3
The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $47.25 to $48.06, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
Referenced by the price of 1 transaction in Table I.