Bailey K Thomas's Form 4 filing
NS Wind Down Co., Inc. (NSTG) · filed Mar 9, 2022
- Accession no.
- 0001401708-22-000062
- Filed
- Mar 9, 2022
- Trade date
- Mar 6-8, 2022
- Filing delay
- 3 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 3 derivative transactions. Open-market sales total $101.1K. It was filed 3 days after the trade, past the 2-business-day deadline.
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 7, 2022 | Common Stock | MOption exerciseAcquired | +4,989 | $0.00 | $0 | 21,399 | Direct | |
| Mar 7, 2022 | Common Stock | MOption exerciseAcquired | +2,764 | $0.00 | $0 | 24,163 | Direct | |
| Mar 8, 2022 | Common Stock | SSaleDisposed | −3,058 | $33.06 | −$101,097.48 | 21,105 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 6, 2022 | Common Stock | AGrant or awardAcquired | +25,380 | $0.00 | $0 | 25,380 | Direct | |
| Mar 7, 2022 | Common Stock | MOption exerciseDisposed | −4,989 | $0.00 | $0 | 4,989 | Direct | |
| Mar 7, 2022 | Common Stock | MOption exerciseDisposed | −2,764 | $0.00 | $0 | 5,529 | 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.
No transaction price on this filing refers to a footnote.