Bernhardt David J.'s Form 4/A amendment
AmendedSentinelOne, Inc. (S) · filed Aug 10, 2023
- Accession no.
- 0001586637-23-000024
- Filed
- Aug 10, 2023
- Trade date
- Jul 11, 2023
- Filing delay
- 30 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Jul 12, 2023
This filing lists 1 non-derivative transaction. It carries over 4 transactions from the original filing that it did not restate. Open-market sales total $46.1K. It was filed 30 days after the trade.
This amendment restates part of 0001586637-23-000020 (filed Jul 12, 2023). 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 |
|---|---|
| Bernhardt David J.CIK 0001586637 | 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 11, 2023 | Class A Common Stock | SSaleDisposed | −3,076 | $15.00F2 | −$46,140 | 427,738 | Direct |
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 0001586637-23-000020 (filed Jul 12, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 11, 2023 | Class A Common Stock | CConversionAcquired | +3,076 | $3.02 | +$9,289.52 | 430,814 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 11, 2023 | Class B Common Stock | MOption exerciseDisposed | −3,076 | $0.00 | $0 | 1,987,250 | Direct | |
| Jul 11, 2023 | Class A Common Stock | MOption exerciseAcquired | +3,076 | $0.00 | $0 | 3,076 | Direct | |
| Jul 11, 2023 | Class A Common Stock | CConversionDisposed | −3,076 | $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 transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2022.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.00 to $15.015, inclusive. The reporting person undertakes to provide to 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 sold at each separate price within the range set forth herein.
Referenced by the price of 1 transaction in Table I.
- F3
Certain of the shares are subject to forfeiture to the Issuer if underlying vesting conditions are not met.
- F4
Includes 652 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on July 5, 2023 in a transaction that was exempt under Rules 16b-3(c) and 16b-3(d).
Remarks
This amendment is being filed to correct the total number of shares of the Issuer's Class A Common Stock owned after giving effect to the 10b5-1 sale executed on July 11, 2023. The correct total after completion of that sale was 427,738. It was previously inadvertently misreported.