Jones Mark Evan's Form 4/A amendment
AmendedGoosehead Insurance, Inc. (GSHD) · filed Jul 6, 2021
- Accession no.
- 0001726978-21-000122
- Filed
- Jul 6, 2021, 3:11 PM ET
- Trade date
- Jul 1, 2021
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jul 2, 2021
This filing lists 6 non-derivative transactions and 1 derivative transaction. Open-market sales total $8.52M. It was filed 5 days after the trade.
This amendment replaces 0001726978-21-000120 (filed Jul 2, 2021).
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 |
|---|---|
| Jones Mark EvanCIK 0001736768 | Director, Officer (CEO), 10% Owner, Other: Member of 10% owner group |
| Jones Robyn Mary ElizabethCIK 0001737503 | Director, 10% Owner, Other: Member of 10% owner group |
| Mark & Robyn Jones Descendants Trust 2014CIK 0001736769 | 10% Owner, Other: Member of 10% owner group |
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 1, 2021 | Class B Common Stock | CConversionDisposed | −66,827 | $0.00 | $0 | 10,151,100 | Direct | |
| Jul 1, 2021 | Class A Common Stock | CConversionAcquired | +66,827 | $0.00 | $0 | 66,827 | Direct | |
| Jul 1, 2021 | Class A Common Stock | SSaleDisposed | −700 | $124.48F2 | −$87,136 | 66,127 | Direct | |
| Jul 1, 2021 | Class A Common Stock | SSaleDisposed | −3,002 | $126.10F3 | −$378,552.2 | 63,125 | Direct | |
| Jul 1, 2021 | Class A Common Stock | SSaleDisposed | −13,948 | $127.09F4 | −$1,772,651.32 | 49,177 | Direct | |
| Jul 1, 2021 | Class A Common Stock | SSaleDisposed | −49,177 | $127.71F5 | −$6,280,394.67 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2021 | Class A Common Stock | CConversionDisposed | −66,827 | $0.00 | $0 | 10,151,100 | 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
Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held (i) directly by the Mark & Robyn Jones Descendants Trust 2014 and (ii) indirectly by Mark Evan Jones and Robyn Mary Elizabeth Jones, who serve as trustees of the Mark & Robyn Jones Descendants Trust 2014 and whose immediate family members are beneficiaries of the Mark & Robyn Jones Descendants Trust 2014.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $123.96 to $124.93, inclusive. The reporting person trust 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 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.44 to $126.43, inclusive. The reporting person trust 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 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.45 to $127.44, inclusive. The reporting person trust 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 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $127.45 to $128.31, inclusive. The reporting person trust 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 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F6
Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held directly by Mark Evan Jones, and does not reflect Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held by his spouse, Robyn Mary Elizabeth Jones, who is independently a reporting person of the issuer.
- F7
Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held directly by Robyn Mary Elizabeth Jones, and does not reflect Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held by her spouse, Mark Evan Jones, who is independently a reporting person of the issuer.
- F8
Reflects shares of Class B Common Stock or LLC Units, as applicable, held indirectly by Mark Evan Jones and Robyn Mary Elizabeth Jones, who serve as trustees of various trusts and whose immediate family members are beneficiaries of such trusts.
- F9
Each LLC Unit, together with a share of Class B Common Stock, may be converted by the holder into one share of Class A Common Stock at any time. The LLC Units do not expire.
- F10
Does not reflect shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held directly by the reporting person individuals, who are each independently a reporting person of the issuer.
Remarks
The prior filing incorrectly listed the aggregate shares directly held and held indirectly By Trust in Table 1. The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person, the Mark and Robyn Jones Descendants Trust 2014.