Sanford Penny's Form 4 filing
AGNT, Inc. (AGNT) · filed Jul 2, 2021
- Accession no.
- 0001562180-21-004736
- Filed
- Jul 2, 2021
- Trade date
- Nov 24, 2020-Jun 30, 2021
- Filing delay
- 220 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 9 derivative transactions. Open-market sales total $1.39M. It was filed 220 days after the trade, past the 2-business-day deadline.
This filing was later replaced by the amendment 0001562180-21-004820 (Jul 6, 2021). Trade tables on this site use the amended version.
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 |
|---|---|
| Sanford PennyCIK 0001588428 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 24, 2020 | Common Stock | XIn-the-money exerciseDisposed | −120,000 | $1.76 | −$211,200 | 28,825,145 | Direct | |
| Dec 22, 2020 | Common Stock | GGiftDisposed | −12,000 | $0.00 | $0 | 28,813,145 | Direct | |
| Dec 30, 2020 | Common Stock | XIn-the-money exerciseDisposed | −35,000 | $1.76 | −$61,600 | 28,778,145 | Direct | |
| Jan 25, 2021 | Common Stock | XIn-the-money exerciseDisposed | −115,000 | $1.76 | −$202,400 | 28,663,145 | Direct | |
| Feb 18, 2021 | Common Stock | XIn-the-money exerciseDisposed | −80,000 | $0.88 | −$70,400 | 28,583,145 | Direct | |
| Mar 12, 2021 | Common Stock | XIn-the-money exerciseDisposed | −80,000 | $0.88 | −$70,400 | 28,503,145 | Direct | |
| Jun 4, 2021 | Common Stock | XIn-the-money exerciseDisposed | −44,495 | $0.88 | −$39,155.6 | 28,458,650 | Direct | |
| Jun 4, 2021 | Common Stock | XIn-the-money exerciseDisposed | −44,000 | $0.88 | −$38,720 | 28,414,650 | Direct | |
| Jun 30, 2021 | Common Stock | SSaleDisposed | −25,352 | $34.59F4 | −$876,925.68 | 28,389,298 | Direct | |
| Jun 30, 2021 | Common Stock | SSaleDisposed | −14,648 | $35.28F5 | −$516,781.44 | 28,374,650 | Direct | |
| Jun 30, 2021 | Common Stock | XIn-the-money exerciseDisposed | −230,000 | $0.88 | −$202,400 | 28,144,650 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 24, 2020 | Common Stock | XIn-the-money exerciseDisposed | −120,000 | $0.00 | $0 | 461,495 | Direct | |
| Dec 30, 2020 | Common Stock | XIn-the-money exerciseDisposed | −35,000 | $0.00 | $0 | 426,495 | Direct | |
| Jan 25, 2021 | Common Stock | XIn-the-money exerciseDisposed | −115,000 | $0.00 | $0 | 311,495 | Direct | |
| Feb 18, 2021 | Common Stock | XIn-the-money exerciseDisposed | −80,000 | $0.00 | $0 | 542,990 | Direct | |
| Mar 12, 2021 | Common Stock | XIn-the-money exerciseDisposed | −80,000 | $0.00 | $0 | 462,990 | Direct | |
| Mar 31, 2021 | Common Stock | XIn-the-money exerciseDisposed | −144,495 | $0.00 | $0 | 318,495 | Direct | |
| Jun 4, 2021 | Common Stock | XIn-the-money exerciseDisposed | −44,000 | $0.00 | $0 | 230,000 | Direct | |
| Jun 4, 2021 | Common Stock | XIn-the-money exerciseDisposed | −44,495 | $0.00 | $0 | 274,000 | Direct | |
| Jun 30, 2021 | Common Stock | XIn-the-money exerciseDisposed | −230,000 | $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.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.06 to $35.05, inclusive. The reporting person undertakes to provide to EXP World Holdings, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.06 to $35.85, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.
Referenced by the price of 1 transaction in Table I.