Yuan Eric S.'s Form 4 filing
Zoom Communications, Inc. (ZM) · filed Sep 22, 2021
- Accession no.
- 0001585521-21-000261
- Filed
- Sep 22, 2021
- Trade date
- Sep 21, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 15 non-derivative transactions and 7 derivative transactions. Open-market sales total $26.7M. It was filed 1 day 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 |
|---|---|
| Yuan Eric S.CIK 0001773298 | Director, Officer (Chief Executive Officer), 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 21, 2021 | Class A Common Stock | CConversionAcquired | +4,080 | $0.00 | $0 | 4,080 | Direct | |
| Sep 21, 2021 | Class A Common Stock | CConversionAcquired | +11,545 | $0.00 | $0 | 15,625 | Direct | |
| Sep 21, 2021 | Class A Common Stock | SSaleDisposed | −2,850 | $275.78F2 | −$785,973 | 12,775 | Direct | |
| Sep 21, 2021 | Class A Common Stock | SSaleDisposed | −2,391 | $276.73F3 | −$661,661.43 | 10,384 | Direct | |
| Sep 21, 2021 | Class A Common Stock | SSaleDisposed | −2,851 | $277.79F4 | −$791,979.29 | 7,533 | Direct | |
| Sep 21, 2021 | Class A Common Stock | SSaleDisposed | −4,348 | $278.64F5 | −$1,211,526.72 | 3,185 | Direct | |
| Sep 21, 2021 | Class A Common Stock | SSaleDisposed | −2,455 | $279.66F6 | −$686,565.3 | 730 | Direct | |
| Sep 21, 2021 | Class A Common Stock | SSaleDisposed | −730 | $280.50F7 | −$204,765 | 0 | Direct | |
| Sep 21, 2021 | Class A Common Stock | CConversionAcquired | +80,529 | $0.00 | $0 | 80,529 | Indirect | |
| Sep 21, 2021 | Class A Common Stock | SSaleDisposed | −14,700 | $275.78F2 | −$4,053,966 | 65,829 | Indirect | |
| Sep 21, 2021 | Class A Common Stock | SSaleDisposed | −12,385 | $276.73F3 | −$3,427,301.05 | 53,444 | Indirect | |
| Sep 21, 2021 | Class A Common Stock | SSaleDisposed | −14,523 | $277.78F4 | −$4,034,198.94 | 38,921 | Indirect | |
| Sep 21, 2021 | Class A Common Stock | SSaleDisposed | −22,465 | $278.64F5 | −$6,259,647.6 | 16,456 | Indirect | |
| Sep 21, 2021 | Class A Common Stock | SSaleDisposed | −12,675 | $279.66F6 | −$3,544,690.5 | 3,781 | Indirect | |
| Sep 21, 2021 | Class A Common Stock | SSaleDisposed | −3,781 | $280.50F7 | −$1,060,570.5 | 0 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 21, 2021 | Class B Common Stock | MOption exerciseDisposed | −4,080 | $0.00 | $0 | 75,465 | Direct | |
| Sep 21, 2021 | Class A Common Stock | MOption exerciseAcquired | +4,080 | $0.00 | $0 | 22,589,592 | Direct | |
| Sep 21, 2021 | Class A Common Stock | CConversionDisposed | −4,080 | $0.00 | $0 | 22,585,512 | Direct | |
| Sep 21, 2021 | Class B Common Stock | MOption exerciseDisposed | −11,545 | $0.00 | $0 | 205,785 | Direct | |
| Sep 21, 2021 | Class A Common Stock | MOption exerciseAcquired | +11,545 | $0.00 | $0 | 22,597,057 | Direct | |
| Sep 21, 2021 | Class A Common Stock | CConversionDisposed | −11,545 | $0.00 | $0 | 22,585,512 | Direct | |
| Sep 21, 2021 | Class A Common Stock | CConversionDisposed | −80,529 | $0.00 | $0 | 908,864 | 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.
- F2
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $275.21 to $276.20. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, the full information regarding the number of shares sold at each separate price within the ranges set forth above.
Referenced by the price of 2 transactions 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 $276.21 to $277.20. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, the full information regarding the number of shares sold at each separate price within the ranges set forth above.
Referenced by the price of 2 transactions in Table I.
- F4
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $277.21 to $278.20. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, the full information regarding the number of shares sold at each separate price within the ranges set forth above.
Referenced by the price of 2 transactions 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 $278.21 to $279.20. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, the full information regarding the number of shares sold at each separate price within the ranges set forth above.
Referenced by the price of 2 transactions in Table I.
- F6
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $279.21 to $280.20. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, the full information regarding the number of shares sold at each separate price within the ranges set forth above.
Referenced by the price of 2 transactions in Table I.
- F7
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $280.21 to $280.95. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, the full information regarding the number of shares sold at each separate price within the ranges set forth above.
Referenced by the price of 2 transactions in Table I.