Mountcastle David's Form 4/A amendment
AmendedPrivia Health Group, Inc. (PRVA) · filed Dec 20, 2022
- Accession no.
- 0001759655-22-000207
- Filed
- Dec 20, 2022
- Trade date
- Oct 5, 2022
- Filing delay
- 76 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Oct 6, 2022
This filing lists 3 non-derivative transactions. It carries over 1 transaction from the original filing that it did not restate. Open-market sales total $148.7K. It was filed 76 days after the trade.
This amendment restates part of 0001759655-22-000153 (filed Oct 6, 2022). 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 |
|---|---|
| Mountcastle DavidCIK 0001858396 | Officer (EVP & Chief Financial Officer) |
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 5, 2022 | Common Stock, $0.01 par value per share | MOption exerciseAcquired | +4,167 | $2.00 | +$8,334 | 163,362 | Direct | |
| Oct 5, 2022 | Common Stock, $0.01 par value per share | SSaleDisposed | −3,667 | $35.63F3 | −$130,655.21 | 159,695 | Direct | |
| Oct 5, 2022 | Common Stock, $0.01 par value per share | SSaleDisposed | −500 | $36.02F4 | −$18,010 | 159,195 | 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 0001759655-22-000153 (filed Oct 6, 2022).
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 5, 2022 | Common Stock | MOption exerciseDisposed | −4,167 | $0.00 | $0 | 17,499 | 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
On October 6, 2022, the reporting person filed a Form 4 (the "Original Form 4") which incorrectly reported that, following his exercise of an option and sales of the underlying common stock, he directly held 91,371 shares of the issuer's common stock. This amendment on Form 4/A is being filed to correct the number of shares as reported in Column 5 "Amount of Securities Beneficially Owned Following Reported Transaction" in each row of Table I of the Original Form 4. As a result of the error, the direct holdings of the reporting person was understated by 67,824 shares in a subsequent Form 4 filed by the reporting person. As of the date of this amendment, the reporting person directly beneficially owns 215,062 shares of common stock
- F2
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 18, 2021.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $35.00 to $35.99 per share. The reporting person undertakes to provide to Privia Health Group, Inc., any security holder of Privia Health Group, Inc. 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 herein.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $36.00 to $36.04 per share. The reporting person undertakes to provide to Privia Health Group, Inc., any security holder of Privia Health Group, Inc. 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 herein.
Referenced by the price of 1 transaction in Table I.