Horowitz Joshua's Form 4/A amendment
AmendedNeuroMetrix, Inc. (NURO) · filed Apr 30, 2024
- Accession no.
- 0001628280-24-019355
- Filed
- Apr 30, 2024
- Trade date
- Apr 18-22, 2024
- Filing delay
- 12 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Apr 22, 2024
This filing lists 2 non-derivative transactions. Open-market sales total $4.58K. It was filed 12 days after the trade.
This amendment replaces 0001628280-24-017128 (filed Apr 22, 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 |
|---|---|
| Horowitz JoshuaCIK 0001612424 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Apr 18, 2024 | Common Stock | AGrant or awardAcquired | +16,438 | $0.00 | $0 | 24,438 | Direct | |
| Apr 22, 2024 | Common Stock | SSaleDisposed | −1,000 | $4.58 | −$4,580 | 23,438 | 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
Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one share of common stock upon vesting. The RSUs were issued to the Reporting Person as the initial grant to non-employee directors pursuant to the Issuer's policy for compensating non-employee directors for services to be rendered to the Issuer as a member of its Board of Directors. The RSUs vest in four equal quarterly installments beginning June 30, 2024, with full vesting to occur on the earlier of the date of the 2025 annual meeting of stockholders or a change in control of the Issuer, subject to the Reporting Person's continued service on the Board of Directors on such date.
- F2
This amendment is being filed solely to correct an error on the original Form 4, filed on April 22, 2024 by the Reporting Person (the "Original Form 4"), pursuant to which the Original Form 4 did not report an inadvertent sale that occurred on April 22, 2024 of 1,000 shares of the Issuer's common stock (at $4.58 per share). The number of shares presented on this amendment to the Original Form 4 represents the current number of shares beneficially owned by the Reporting Person.
- F3
Held by Palm Global Small Cap Master Fund LP Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by Palm Global. Due to his positions with Palm Global and Palm Management (US) LLC, the Reporting Person may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by Palm Global Palm Management (US) LLC and the Reporting Person expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein.