Adkins Katherine's Form 4 filing
Affirm Holdings, Inc. (AFRM) · filed Nov 3, 2021
- Accession no.
- 0001628280-21-021563
- Filed
- Nov 3, 2021
- Trade date
- Nov 1, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.68M. It was filed 2 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 |
|---|---|
| Adkins KatherineCIK 0001870331 | Officer (Chief Legal 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 1, 2021 | Class A Common Stock | MOption exerciseAcquired | +1,660 | $62.52 | +$103,783.2 | 10,924 | Direct | |
| Nov 1, 2021 | Class A Common Stock | MOption exerciseAcquired | +2,325 | $0.00 | $0 | 13,249 | Direct | |
| Nov 1, 2021 | Class A Common Stock | MOption exerciseAcquired | +165 | $0.00 | $0 | 13,414 | Direct | |
| Nov 1, 2021 | Class A Common Stock | FTax withholdingDisposed | −1,128 | $152.66 | −$172,200.48 | 12,286 | Direct | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −1,200 | $151.64F3 | −$181,968 | 11,086 | Direct | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −3,229 | $152.41F4 | −$492,131.89 | 7,857 | Direct | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −901 | $153.62F5 | −$138,411.62 | 6,956 | Direct | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −3,700 | $154.63F6 | −$572,131 | 3,256 | Direct | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −500 | $155.15F7 | −$77,575 | 2,756 | Direct | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −500 | $156.65F8 | −$78,325 | 2,256 | Direct | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −594 | $159.48F9 | −$94,731.12 | 1,662 | Direct | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −300 | $162.93F10 | −$48,879 | 1,362 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 1, 2021 | Class A Common Stock | MOption exerciseDisposed | −1,660 | $0.00 | $0 | 24,915 | Direct | |
| Nov 1, 2021 | Class A Common Stock | MOption exerciseDisposed | −2,325 | $0.00 | $0 | 20,925 | Direct | |
| Nov 1, 2021 | Class A Common Stock | MOption exerciseDisposed | −165 | $0.00 | $0 | 7,119 | 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.
- F3
Represents the weighted average sale price of the shares sold from $151.03 to $151.98 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F4
Represents the weighted average sale price of the shares sold from $152.06 to $152.95 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F5
Represents the weighted average sale price of the shares sold from $153.10 to $153.99 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F6
Represents the weighted average sale price of the shares sold from $154.13 to $155.11 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F7
Represents the weighted average sale price of the shares sold from $155.13 to $155.17 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F8
Represents the weighted average sale price of the shares sold from $156.15 to $157.09 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F9
Represents the weighted average sale price of the shares sold from $158.99 to $159.93 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F10
Represents the weighted average sale price of the shares sold from $162.91 to $162.96 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.