Cox James S's Form 4/A amendment
AmendedClearwater Analytics Holdings, Inc. (CWAN) · filed Jul 17, 2024
- Accession no.
- 0001562180-24-005781
- Filed
- Jul 17, 2024
- Trade date
- Jul 15, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
- Original filed
- Jul 16, 2024
This filing lists 7 non-derivative transactions and 2 derivative transactions. Open-market sales total $213.4K. It was filed 2 days after the trade.
This amendment replaces 0001562180-24-005763 (filed Jul 16, 2024).
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 |
|---|---|---|---|---|---|---|---|---|
| Jul 15, 2024 | Class A Common Stock | MOption exerciseAcquired | +16,315 | $4.40 | +$71,786 | 253,818 | Direct | |
| Jul 15, 2024 | Class A Common Stock | FTax withholdingDisposed | −10,140 | $18.92 | −$191,848.8 | 243,678 | Direct | |
| Jul 15, 2024 | Class A Common Stock | SSaleDisposed | −6,175 | $18.92F3 | −$116,831 | 237,503 | Direct | |
| Jul 15, 2024 | Class A Common Stock | MOption exerciseAcquired | +265 | $4.40 | +$1,166 | 237,768 | Direct | |
| Jul 15, 2024 | Class A Common Stock | FTax withholdingDisposed | −165 | $18.92 | −$3,121.8 | 237,603 | Direct | |
| Jul 15, 2024 | Class A Common Stock | SSaleDisposed | −100 | $18.92F3 | −$1,892 | 237,503 | Direct | |
| Jul 15, 2024 | Class A Common Stock | SSaleDisposed | −5,000 | $18.93F4 | −$94,650 | 232,503 | 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 15, 2024 | Class A Common Stock | MOption exerciseDisposed | −16,315 | $0.00 | $0 | 213,771 | Direct | |
| Jul 15, 2024 | Class A Common Stock | MOption exerciseDisposed | −265 | $0.00 | $0 | 213,506 | 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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 11, 2024.
- F2
This amendment is being filed to check the box to indicate that the transactions reflected in this Form 4 were made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
- F3
This transaction was executed in multiple trades at prices ranging from $18.77 USD to $19.03 USD; the price reported above reflects the weighted average sale price.
Referenced by the price of 2 transactions in Table I.
- F4
This transaction was executed in multiple trades at prices ranging from $18.79 USD to $19.00 USD; the price reported above reflects the weighted average sale price.
Referenced by the price of 1 transaction in Table I.
- F5
Vests 120,000 share(s) on 20-May-2020, 198,000 share(s) on 02-Nov-2020, 70,500 share(s) on 20-May-2021, 70,500 share(s) on 20-May-2022, 70,500 share(s) on 20-May-2023, 70,500 share(s) on 20-May-2024