Winkles Isabelle's Form 4/A amendment
AmendedBraze, Inc. (BRZE) · filed Aug 18, 2023
- Accession no.
- 0001676238-23-000118
- Filed
- Aug 18, 2023
- Trade date
- Jul 13, 2022
- Filing delay
- 401 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Jul 15, 2022
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 $250.5K. It was filed 401 days after the trade.
This amendment restates part of 0001676238-22-000031 (filed Jul 15, 2022). 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 |
|---|---|
| Winkles IsabelleCIK 0001888946 | 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 13, 2022 | Class A Common Stock | SSaleDisposed | −5,963 | $42.01F2 | −$250,505.63 | 70,555 | 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 0001676238-22-000031 (filed Jul 15, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 13, 2022 | Class A Common Stock | CConversionAcquired | +5,963 | –F1 | – | 39,160 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 13, 2022 | Class B Common Stock | MOption exerciseDisposed | −5,963 | $0.00 | $0 | 199,452 | Direct | |
| Jul 13, 2022 | Class A Common Stock | MOption exerciseAcquired | +5,963 | $0.00 | $0 | 5,963 | Direct | |
| Jul 13, 2022 | Class A Common Stock | CConversionDisposed | −5,963 | $0.00 | $0 | 0 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
Each share of Class B Common Stock is convertible into one share of Class A Common Stock (A) at any time at the option of the Reporting Person or (B) automatically upon the occurrence of the following: (1) the transfer of such share of Class B Common Stock, except for certain transfers whereby the Reporting Person continues to hold sole voting and dispositive power with respect to each such share, (2) the death of a Class B common stockholder who is a natural person, (3) the last trading day of the fiscal quarter immediately following the fifth anniversary of the Issuer's initial public offering, (4) the date specified by affirmative vote of the holders of a majority of the outstanding shares of Class B common stock and (5) the last trading day of the fiscal quarter during which the then outstanding shares of Class B Common Stock first represent less than 10% of the aggregate number of shares of the then outstanding Class A Common Stock and Class B Common Stock.
Referenced by the price of 1 transaction in Table I.
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
On July 15, 2022, the Reporting Person filed a Form 4 that inadvertently reported that on July 13, 2022 (i) 5,963 shares of Class B Common Stock were acquired upon exercise of an option, and (ii) 5,963 shares of Class B Common Stock were converted to Class A Common Stock. Such exercise and conversion already occurred on April 5, 2022, and the sale of shares of Class A Common Stock described in this Form 4/A occurred using shares that were already outstanding as of July 13, 2022.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.00 to $42.15 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 in this footnote.
Referenced by the price of 1 transaction in Table I.