Jones Mark Evan's Form 4/A amendment
AmendedGoosehead Insurance, Inc. (GSHD) · filed Aug 11, 2021
- Accession no.
- 0001726978-21-000151
- Filed
- Aug 11, 2021
- Trade date
- Aug 9, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Aug 9, 2021
This filing lists 6 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.55M. It was filed 2 days after the trade.
This amendment replaces 0001726978-21-000147 (filed Aug 9, 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 |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 9, 2021 | Class A Common Stock | MOption exerciseAcquired | +20,131 | $10.00 | +$201,310 | 306,332 | Direct | |
| Aug 9, 2021 | Class A Common Stock | SSaleDisposed | −308 | $122.61F2 | −$37,763.88 | 306,024 | Direct | |
| Aug 9, 2021 | Class A Common Stock | SSaleDisposed | −390 | $124.19F3 | −$48,434.1 | 305,634 | Direct | |
| Aug 9, 2021 | Class A Common Stock | SSaleDisposed | −627 | $125.27F4 | −$78,544.29 | 305,007 | Direct | |
| Aug 9, 2021 | Class A Common Stock | SSaleDisposed | −7,794 | $126.54F5 | −$986,252.76 | 297,213 | Direct | |
| Aug 9, 2021 | Class A Common Stock | SSaleDisposed | −11,012 | $127.00F6 | −$1,398,524 | 286,201 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 9, 2021 | Class A Stock | MOption exerciseDisposed | −20,131 | $0.00 | $0 | 276,005 | 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 does not reflect shares directly held by the reporting person's spouse, who is independently a reporting person of the issuer.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $122.59 to $123.54, 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 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 $123.78 to $124.71, 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 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 $124.79 to $125.71, 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 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 $125.83 to $126.82, 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 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.83 to $127.63, 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 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F7
One third (1/3rd) of the shares subject to the option shall vest and become exercisable, subject to continued employment, on each of the second, third and fourth anniversaries of the grant date; provided, that all shares subject to the option will vest and become exercisable if Mr. Jones's employment is terminated without "cause" or for "good reason" (each as defined in either Mr. Jones's option award agreement or the issuer's omnibus incentive plan) within six month following a "change in control" (as defined in the issuer's omnibus incentive plan).