Nigon Richard's Form 4 filing
Northern Technologies International Corp (NTIC) · filed Jul 27, 2023
- Accession no.
- 0001526513-23-000002
- Filed
- Jul 27, 2023
- Trade date
- Jul 26-27, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $22.5K. It was filed 1 day 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 |
|---|---|
| Nigon RichardCIK 0001213869 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 26, 2023 | Common Stock | MOption exerciseAcquired | +12,000 | $7.35 | +$88,200 | 42,600 | Direct | |
| Jul 26, 2023 | Common Stock | FTax withholdingDisposed | −7,153 | $12.33 | −$88,196.49 | 35,447 | Direct | |
| Jul 27, 2023 | Common Stock | SSaleDisposed | −1,847 | $12.17F1 | −$22,477.99 | 33,600 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 26, 2023 | Common Stock | MOption exerciseDisposed | −12,000 | $0.00 | $0 | 0 | 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.
- F1
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.05 to $12.25, inclusive. The reporting person undertakes to provide to Northern Technologies International Corporation, any security holder of Northern Technologies International Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.
Referenced by the price of 1 transaction in Table I.