Sanford Penny's Form 4/A amendment
AmendedAGNT, Inc. (AGNT) · filed Jul 6, 2021
- Accession no.
- 0001562180-21-004820
- Filed
- Jul 6, 2021
- Trade date
- Jun 30, 2021
- Filing delay
- 6 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jul 2, 2021
This filing lists 2 non-derivative transactions. It carries over 18 transactions from the original filing that it did not restate. Open-market sales total $1.56M. It was filed 6 days after the trade.
This amendment restates part of 0001562180-21-004736 (filed Jul 2, 2021). The transactions it did not restate still count and are listed below.
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.
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001562180-21-004736 (filed Jul 2, 2021).
Non-derivative securities (Table I)
| 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 | XIn-the-money exerciseDisposed | −230,000 | $0.88 | −$202,400 | 28,144,650 | Direct |
Derivative securities (Table II)
| 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.
- F1
The sale reported in this Form 4 was effected pursuant to a preexisting Rule 10b5-1 trading plan adopted by the reporting person.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.33 to $39.32, 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.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.33 to $39.63, 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.
Remarks
Due to administrative error, this Form 4 is being amended to correct the price of shares sold on June 30, 2021.