Cox James S's Form 4 filing
Clearwater Analytics Holdings, Inc. (CWAN) · filed Aug 7, 2023
- Accession no.
- 0001562180-23-006213
- Filed
- Aug 7, 2023
- Trade date
- Aug 3-4, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $896.5K. It was filed 4 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 |
|---|---|
| Cox James SCIK 0001441361 | Officer (Chief Financial Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 3, 2023 | Class A Common Stock | MOption exerciseAcquired | +500 | $4.40 | +$2,200 | 77,872 | Direct | |
| Aug 3, 2023 | Class A Common Stock | SSaleDisposed | −500 | $17.89F2 | −$8,945 | 77,372 | Direct | |
| Aug 4, 2023 | Class A Common Stock | MOption exerciseAcquired | +39,500 | $4.40 | +$173,800 | 116,872 | Direct | |
| Aug 4, 2023 | Class A Common Stock | SSaleDisposed | −39,500 | $17.93F3 | −$708,235 | 77,372 | Direct | |
| Aug 4, 2023 | Class A Common Stock | MOption exerciseAcquired | +10,000 | $4.40 | +$44,000 | 87,372 | Direct | |
| Aug 4, 2023 | Class A Common Stock | SSaleDisposed | −10,000 | $17.93F3 | −$179,300 | 77,372 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 3, 2023 | Class A Common Stock | MOption exerciseDisposed | −500 | $0.00 | $0 | 608,530 | Direct | |
| Aug 4, 2023 | Class A Common Stock | MOption exerciseDisposed | −39,500 | $0.00 | $0 | 569,030 | Direct | |
| Aug 4, 2023 | Class A Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 306,020 | 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.
- F2
This transaction was executed in multiple trades at prices ranging from $17.88 USD to $17.89 USD; the price reported above reflects the weighted average sale price.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $17.88 USD to $18.00 USD; the price reported above reflects the weighted average sale price.
Referenced by the price of 2 transactions in Table I.