Lauten John's Form 4 filing
FiEE, Inc. (FIEE) · filed Jul 29, 2021
- Accession no.
- 0001493152-21-018113
- Filed
- Jul 29, 2021
- Trade date
- Mar 12-Jun 10, 2021
- Filing delay
- 139 daysLate
- 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 $74.2K. It was filed 139 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 |
|---|---|
| Lauten JohnCIK 0001868826 | Officer (Chief Operating 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 12, 2021 | Common Stock | MOption exerciseAcquired | +15,000 | $1.00 | +$15,000 | 15,000 | Direct | |
| Mar 12, 2021 | Common Stock | SSaleDisposed | −15,000 | $2.70 | −$40,500 | 0 | Direct | |
| Jun 10, 2021 | Common Stock | MOption exerciseAcquired | +12,000 | $1.00 | +$12,000 | 12,000 | Direct | |
| Jun 10, 2021 | Common Stock | SSaleDisposed | −12,000 | $2.81 | −$33,720 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 12, 2021 | Common Stock | MOption exerciseDisposed | −15,000 | $1.00 | −$15,000 | 65,000 | Direct | |
| Jun 10, 2021 | Common Stock | MOption exerciseDisposed | −12,000 | $1.00 | −$12,000 | 53,000 | 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.