Ashleman Eric D's Form 4/A amendment
AmendedIdex CorpIEX · filed Nov 1, 2022
- Accession no.
- 0001694002-22-000006
- Filed
- Nov 1, 2022
- Trade date
- Oct 28, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Oct 31, 2022
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $3.47M. It was filed 4 days after the trade.
This amendment replaces 0001694002-22-000004 (filed Oct 31, 2022).
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 |
|---|---|
| Ashleman Eric DCIK 0001605266 | Director, Officer (CEO and President) |
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 28, 2022 | COMMON STOCK | MOption exerciseAcquired | +5,848 | $74.74F1 | +$437,079.52 | 44,328 | Direct | |
| Oct 28, 2022 | COMMON STOCK | MOption exerciseAcquired | +10,000 | $93.27F1 | +$932,700 | 54,328 | Direct | |
| Oct 28, 2022 | COMMON STOCK | SSaleDisposed | −3,360 | $218.10F1,F2 | −$732,816 | 50,968 | Direct | |
| Oct 28, 2022 | COMMON STOCK | SSaleDisposed | −9,426 | $219.07F1,F3 | −$2,064,953.82 | 41,542 | Direct | |
| Oct 28, 2022 | COMMON STOCK | SSaleDisposed | −3,062 | $219.66F1,F4 | −$672,598.92 | 38,480 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 28, 2022 | COMMON STOCK | MOption exerciseDisposed | −5,848 | $0.00 | $0 | 0 | Direct | |
| Oct 28, 2022 | COMMON STOCK | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 15,385 | 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
This amendment to Form 4 is being filed as a restatement of the Form 4 filed by the Reporting Person on October 31, 2022, solely to correctly report the prices at which the Reporting Person acquired and disposed of these shares, which were inadvertently interchanged and reported as non-weighted average sale prices in the Form 4 filed by the Reporting Person on October 31, 2022. There are no other changes to the Form 4 filed by the Reporting Person on October 31, 2022.
Referenced by the price of 5 transactions in Table I.
- F2
The transaction was executed in multiple trades in prices ranging from $217.48 to $218.44, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in footnotes 2 through 4 of this Form 4.
Referenced by the price of 1 transaction in Table I.
- F3
The transaction was executed in multiple trades in prices ranging from $218.49 to $219.48, inclusive.
Referenced by the price of 1 transaction in Table I.
- F4
The transaction was executed in multiple trades in prices ranging from $219.49 to $220.01, inclusive.
Referenced by the price of 1 transaction in Table I.
- F5
On prior Forms 4, options held by this reporting person were reported on an aggregate basis in Column 9. As of this Form 4, the reporting person is separately reporting in Column 9 the number of options owned of each particular class.