Colby Mark S.'s Form 4/A amendment
AmendedGoosehead Insurance, Inc. (GSHD) · filed Sep 23, 2021
- Accession no.
- 0001726978-21-000179
- Filed
- Sep 23, 2021
- Trade date
- Aug 30-Sep 1, 2021
- Filing delay
- 24 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Sep 3, 2021
This filing lists 2 derivative transactions. It carries over 6 transactions from the original filing that it did not restate. Open-market sales total $2.69M. It was filed 24 days after the trade.
This amendment restates part of 0001726978-21-000175 (filed Sep 3, 2021). 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 |
|---|---|
| Colby Mark S.CIK 0001736854 | Officer (CFO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
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 30, 2021 | Class A Stock | MOption exerciseDisposed | −8,488 | $0.00 | $0 | 50,000 | Direct | |
| Sep 1, 2021 | Class A Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 40,000 | 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 0001726978-21-000175 (filed Sep 3, 2021).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 30, 2021 | Class A Common Stock | MOption exerciseAcquired | 0 | $10.00 | $0 | 8,488 | Direct | |
| Aug 30, 2021 | Class A Common Stock | SSaleDisposed | −7,611 | $140.27F1 | −$1,067,594.97 | 877 | Direct | |
| – | Class A Common Stock | SSaleDisposed | −877 | $141.28F2 | −$123,902.56 | 0 | Direct | Invalid date |
| Sep 1, 2021 | Class A Common Stock | MOption exerciseAcquired | 0 | $10.00 | $0 | 10,000 | Direct | |
| Sep 1, 2021 | Class A Common Stock | SSaleDisposed | −9,478 | $150.43F3 | −$1,425,775.54 | 522 | Direct | |
| Sep 1, 2021 | Class A Common Stock | SSaleDisposed | −522 | $140.00F4 | −$73,080 | 0 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $140.00 to $140.74, 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.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $141.03 to $141.51, 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 $150.00 to $150.98, 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 $151.07 to $151.33, 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.
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
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. Colby's employment is terminated without "cause" or for "good reason" (each as defined in either Mr. Colby'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).
- F2
Added transaction to correspond the disposition of stock options with the number of disposed option shares reported in Table 1 of the original Form.
- F3
Amended to correspond the number of stock options disposed with the number of disposed option shares reported in Table 1 of the original Form.