Sternberg David A's Form 4 filing
First Trust Alternative Opportunities Fund · filed Aug 4, 2021
- Accession no.
- 0001771877-21-000005
- Filed
- Aug 4, 2021
- Trade date
- Jun 2-Aug 2, 2021
- Filing delay
- 63 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market purchases total $999.91. It was filed 63 days after the trade, past the 2-business-day deadline.
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 2, 2021 | CLASS I COMMON SHARES | JOtherAcquired | +15 | $27.06 | +$405.9 | 4,691 | Indirect | |
| Jul 7, 2021 | CLASS I COMMON SHARES | JOtherAcquired | +17 | $27.25 | +$463.25 | 4,708 | Indirect | |
| Aug 2, 2021 | CLASS A COMMON SHARES | PPurchaseAcquired | +36.64 | $27.29 | +$999.91 | 36.64 | Indirect | Duplicate filing |
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.
No transaction price on this filing refers to a footnote.