Sternberg David A's Form 4/A amendment
AmendedFirst Trust Alternative Opportunities Fund · filed Aug 4, 2021
- Accession no.
- 0001771877-21-000004
- Filed
- Aug 4, 2021
- Trade date
- Apr 7-May 21, 2021
- Filing delay
- 119 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- May 24, 2021
This filing lists 4 non-derivative transactions. Open-market purchases total $13.2K. It was filed 119 days 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 |
|---|---|
| Sternberg David ACIK 0001771877 | Other: CEO OF ADVISER |
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 |
|---|---|---|---|---|---|---|---|---|
| Apr 7, 2021 | CLASS I COMMON SHARES | JOtherAcquired | +13 | $26.60 | +$345.8 | 4,171 | Indirect | |
| May 5, 2021 | CLASS I COMMON SHARES | JOtherAcquired | +13 | $26.62 | +$346.06 | 4,184 | Indirect | |
| May 21, 2021 | CLASS I COMMON SHARES | PPurchaseAcquired | +302 | $26.74 | +$8,075.48 | 4,486 | Indirect | |
| May 21, 2021 | CLASS I COMMON SHARES | PPurchaseAcquired | +190 | $26.74 | +$5,080.6 | 4,676 | Indirect |
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
DIVIDEND REINVESTMENT