Sternberg David A's Form 4 filing
First Trust Alternative Opportunities Fund · filed Jan 4, 2022
- Accession no.
- 0001771877-22-000001
- Filed
- Jan 4, 2022
- Trade date
- Dec 1-31, 2021
- Filing delay
- 34 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions. Open-market sales total $53.5K. It was filed 34 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 FORMER 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 1, 2021 | CLASS I COMMON SHARES | JOtherAcquired | +16 | $27.89 | +$446.24 | 9,371 | Indirect | |
| Dec 10, 2021 | CLASS I COMMON SHARES | JOtherAcquired | +57 | $27.48 | +$1,566.36 | 9,428 | Indirect | |
| Dec 31, 2021 | CLASS I COMMON SHARES | SSaleDisposed | −1,935 | $27.64 | −$53,483.4 | 7,493 | Indirect | |
| Dec 1, 2021 | CLASS A COMMON SHARES | JOtherAcquired | +0.15 | $27.91 | +$4.19 | 37.25 | Indirect | |
| Dec 10, 2021 | CLASS A COMMON SHARES | JOtherAcquired | +0.47 | $27.58 | +$12.96 | 37.72 | 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.