Sternberg David A's Form 4 filing
First Trust Alternative Opportunities Fund · filed Nov 12, 2021
- Accession no.
- 0001771877-21-000006
- Filed
- Nov 12, 2021
- Trade date
- Aug 4-Nov 10, 2021
- Filing delay
- 100 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions. Open-market purchases total $253.4K. It was filed 100 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: FORMER 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 4, 2021 | CLASS I COMMON SHARES | JOtherAcquired | +15 | $27.19 | +$407.85 | 4,723 | Indirect | |
| Sep 1, 2021 | CLASS I COMMON SHARES | JOtherAcquired | +16 | $27.49 | +$439.84 | 4,739 | Indirect | |
| Oct 6, 2021 | CLASS I COMMON SHARES | JOtherAcquired | +16 | $27.78 | +$444.48 | 4,755 | Indirect | |
| Nov 3, 2021 | CLASS I COMMON SHARES | JOtherAcquired | +16 | $27.86 | +$445.76 | 4,771 | Indirect | |
| Nov 10, 2021 | CLASS I COMMON SHARES | PPurchaseAcquired | +4,584 | $27.90 | +$127,893.6 | 9,355 | Indirect | |
| Nov 10, 2021 | CLASS I COMMON SHARES | PPurchaseAcquired | +4,497 | $27.90 | +$125,466.3 | 13,852 | Direct | |
| Sep 1, 2021 | CLASS A COMMON SHARES | JOtherAcquired | +0.15 | $27.57 | +$4.14 | 36.79 | Indirect | |
| Oct 6, 2021 | CLASS A COMMON SHARES | JOtherAcquired | +0.15 | $27.95 | +$4.19 | 36.94 | Indirect | |
| Nov 3, 2021 | CLASS A COMMON SHARES | JOtherAcquired | +0.16 | $28.01 | +$4.48 | 37.1 | 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.
No transaction price on this filing refers to a footnote.