Russell Mark A's Form 4 filing
Nikola Corp (NKLA) · filed Nov 23, 2022
- Accession no.
- 0001731289-22-000289
- Filed
- Nov 23, 2022
- Trade date
- Nov 22, 2022
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $175.5K. It was filed 1 day after the trade.
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 |
|---|---|
| Russell Mark ACIK 0001389418 | Director, 10% Owner |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 22, 2022 | Common Stock | MOption exerciseAcquired | +75,000 | $1.06 | +$79,500 | 2,887,346 | Direct | |
| Nov 22, 2022 | Common Stock | SSaleDisposed | −1,500 | $2.34F2 | −$3,510 | 2,885,846 | Direct | |
| Nov 22, 2022 | Common Stock | SSaleDisposed | −73,500 | $2.34F3 | −$171,990 | 2,812,346 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 22, 2022 | Common Stock | MOption exerciseDisposed | −75,000 | $0.00 | $0 | 5,002,185 | 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.
- F2
This transaction was executed in multiple trades at prices ranging from $2.27 to $2.47. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $2.27 to $2.48. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
Referenced by the price of 1 transaction in Table I.