AWM Investment Company, Inc.'s Form 4 filing
Emcore Corp (EMKR) · filed Jun 20, 2023
- Accession no.
- 0001535264-23-000067
- Filed
- Jun 20, 2023
- Trade date
- Jun 15-20, 2023
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions. Open-market sales total $456.7K. It was filed 5 days 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 |
|---|---|
| AWM Investment Company, Inc.CIK 0001535264 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 15, 2023 | Common Stock | SSaleDisposed | −300,000 | $0.67F1 | −$201,000 | 5,630,963 | Indirect | |
| Jun 16, 2023 | Common Stock | SSaleDisposed | −235,000 | $0.69F1 | −$162,150 | 5,395,963 | Indirect | |
| Jun 20, 2023 | Common Stock | SSaleDisposed | −139 | $0.70 | −$97.3 | 5,395,824 | Indirect | |
| Jun 20, 2023 | Common Stock | SSaleDisposed | −133,528 | $0.70F1 | −$93,469.6 | 5,262,296 | 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
This is a weighted average price.
Referenced by the price of 3 transactions in Table I.