Spink Kenneth B.'s Form 4 filing
Aehr Test Systems (AEHR) · filed Sep 30, 2021
- Accession no.
- 0001654954-21-010629
- Filed
- Sep 30, 2021
- Trade date
- Sep 28-29, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 6 derivative transactions. Open-market sales total $1.89M. 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 |
|---|---|
| Spink Kenneth B.CIK 0001652627 | Officer (VP of Finance and CFO) |
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 28, 2021 | Common Stock | MOption exerciseAcquired | +9,500 | $2.10 | +$19,950 | 135,554 | Direct | |
| Sep 28, 2021 | Common Stock | MOption exerciseAcquired | +29,000 | $2.30 | +$66,700 | 164,554 | Direct | |
| Sep 28, 2021 | Common Stock | MOption exerciseAcquired | +24,400 | $3.93 | +$95,892 | 188,954 | Direct | |
| Sep 28, 2021 | Common Stock | MOption exerciseAcquired | +30,989 | $2.40 | +$74,373.6 | 219,943 | Direct | |
| Sep 28, 2021 | Common Stock | SSaleDisposed | −133,914 | $14.13F2 | −$1,892,204.82 | 86,029 | Direct | |
| Sep 29, 2021 | Common Stock | MOption exerciseAcquired | +18,000 | $1.68 | +$30,240 | 104,029 | Direct | |
| Sep 29, 2021 | Common Stock | MOption exerciseAcquired | +25,000 | $1.64 | +$41,000 | 129,029 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 28, 2021 | Common Stock | MOption exerciseDisposed | −9,500 | $0.00 | $0 | 0 | Direct | |
| Sep 28, 2021 | Common Stock | MOption exerciseDisposed | −29,000 | $0.00 | $0 | 0 | Direct | |
| Sep 28, 2021 | Common Stock | MOption exerciseDisposed | −24,400 | $0.00 | $0 | 0 | Direct | |
| Sep 28, 2021 | Common Stock | MOption exerciseDisposed | −30,989 | $0.00 | $0 | 11,511 | Direct | |
| Sep 29, 2021 | Common Stock | MOption exerciseDisposed | −18,000 | $0.00 | $0 | 0 | Direct | |
| Sep 29, 2021 | Common Stock | MOption exerciseDisposed | −25,000 | $0.00 | $0 | 25,000 | 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.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $14.79, inclusive. The reporting person undertakes to provide to Aehr Test Systems, any security holder of Aehr Test Systems, 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 ranges set forth above.
Referenced by the price of 1 transaction in Table I.