Sohn Evan's Form 4 filing
Nixxy, Inc. (NIXX) · filed Nov 18, 2021
- Accession no.
- 0001654954-21-012422
- Filed
- Nov 18, 2021
- Trade date
- Nov 15, 2019-Nov 18, 2021
- Filing delay
- 734 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 2 derivative transactions. Open-market purchases total $6.07K. It was filed 734 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Sohn EvanCIK 0001772206 | Director, Officer (CEO and Executive Chairman) |
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 15, 2019 | Common Stock, par value $0.0001 | PPurchaseAcquired | +200 | $4.97 | +$994 | 202,418 | Direct | |
| Nov 18, 2019 | Common Stock, par value $0.0001 | PPurchaseAcquired | +240 | –F2 | – | 202,658 | Direct | |
| Nov 18, 2019 | Common Stock, par value $0.0001 | PPurchaseAcquired | +360 | –F3 | – | 203,018 | Direct | |
| Nov 22, 2019 | Common Stock, par value $0.0001 | PPurchaseAcquired | +40 | $3.04 | +$121.6 | 203,058 | Direct | |
| Nov 25, 2019 | Common Stock, par value $0.0001 | PPurchaseAcquired | +40 | $2.27 | +$90.8 | 203,098 | Direct | |
| Dec 23, 2019 | Common Stock, par value $0.0001 | PPurchaseAcquired | +72 | –F4 | – | 203,170 | Direct | |
| Mar 11, 2021 | Common Stock, par value $0.0001 | AGrant or awardAcquired | +1,626 | –F5 | – | 204,796 | Direct | |
| Nov 18, 2021 | Common Stock, par value $0.0001 | PPurchaseAcquired | +1,650 | $2.95 | +$4,867.5 | 206,446 | 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.
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
These shares were purchased in multiple transactions at prices ranging from $3.67 to $4.37, inclusive.
Referenced by the price of 1 transaction in Table I.
- F3
These shares were purchased in multiple transactions at prices ranging from $2.32 to $4.87, inclusive.
Referenced by the price of 1 transaction in Table I.
- F4
These shares were purchased in multiple transactions at prices ranging from $3.00 to $3.50, inclusive.
Referenced by the price of 1 transaction in Table I.
- F5
Issuance of shares pursuant to August 2018 consulting agreement between the Issuer and the Reporting Person entered into prior to the Reporting Person's appointment as Chief Executive Officer in June 2020.
Referenced by the price of 1 transaction in Table I.
- F7
Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. 27,700 RSUs vest on a quarterly basis with the first vesting date having been June 30, 2021. The RSUs were granted to the Reporting Person pursuant to the Issuer's 2017 Equity Incentive Plan.
Referenced by the price of 1 transaction in Table II.
- F8
Represents options granted to the Reporting Person pursuant to the Issuer's 2021 Equity Incentive Plan in connection with the Reporting Person's employment agreement. 50,000 options will vest on 09/13/2022, and 12,500 options will vest every three months thereafter.
Referenced by the price of 1 transaction in Table II.