Johnson Scott Mitchell's Form 4 filing
PetVivo Holdings, Inc.PETV · filed Nov 2, 2021
- Accession no.
- 0001493152-21-027031
- Filed
- Nov 2, 2021
- Trade date
- May 4-Aug 13, 2021
- Filing delay
- 182 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 1 derivative transaction. Open-market purchases total $18.0K. Open-market sales total $28.5K. It was filed 182 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 |
|---|---|
| Johnson Scott MitchellCIK 0001780313 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| May 4, 2021 | Common Stock | SSaleDisposed | −100 | $8.85 | −$885 | 14,001 | Indirect | |
| May 4, 2021 | Common Stock | SSaleDisposed | −90 | $8.70 | −$783 | 13,911 | Indirect | |
| May 5, 2021 | Common Stock | SSaleDisposed | −2,115 | $7.75 | −$16,391.25 | 11,796 | Indirect | |
| May 10, 2021 | Common Stock | SSaleDisposed | −271 | $8.50 | −$2,303.5 | 11,525 | Indirect | |
| May 10, 2021 | Common Stock | SSaleDisposed | −950 | $8.55 | −$8,122.5 | 10,575 | Indirect | |
| Aug 13, 2021 | Common Stock | PPurchaseAcquired | +4,000 | $4.50F1 | +$18,000 | 14,575 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 13, 2021 | Common Stock | PPurchaseAcquired | +4,000 | $4.50F1 | +$18,000 | 4,000 | 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
Represents the purchase price for one unit, which consists of one shares of the Company's common stock and one warrant to purchase one shares of the company's common stock, which is exercisable beginning on or after February 9, 2022 and ending August 16, 2026. The Reporting Person realized short-swing profits under Section 16(b) of the Exchange Act as a result of the purchase of the Issuer's securities by the Reporting Person's wife matched against sales of securities by the Reporting Person's wife as reported herein. On November 1, 2021, the Reporting Person disgorged $12,618.26 to the Issuer, represented the short-swing profits realized by the Reporting Person as a result of such transactions.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.