Berman Ronald J's Form 4/A amendment
AmendedNano Magic Inc. (NMGX) · filed Sep 15, 2021
- Accession no.
- 0001493152-21-022810
- Filed
- Sep 15, 2021
- Trade date
- Sep 10, 2021
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Sep 14, 2021
This filing lists 1 non-derivative transaction and 1 derivative transaction. It was filed 5 days after the trade.
This amendment replaces 0001493152-21-022643 (filed Sep 14, 2021).
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 |
|---|---|
| Berman Ronald JCIK 0001022732 | Director, 10% Owner |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 10, 2021 | Common Stock | PPurchaseAcquired | +36,789 | –F1 | – | 740,156 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 10, 2021 | Common stock | PPurchaseAcquired | +36,788 | –F1 | – | 440,949 | Indirect |
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
Reporting person purchased for $36,764 an interest in an entity that owns the stock and warrants.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F2
Totals in column 5 of Table I and column 9 of Table II include both shares owned directly and indirectly through PEN Comeback, LLC and PEN Comeback 2, LLC. Mr. Berman shares voting control of those entities with his son, Tom J. Berman, but disclaims beneficial ownership of the securities owned by those entities except to the extent of his pecuniary interest.
- F3
Warrants are presently exercisable
- F4
Warrants will expire on six different dates: earliest 9/6/2023, and last on 3/26/2024.
Remarks
Amendment changes totals in column 5 of Table I and column 9 of Table II