Hays Joseph Christopher's Form 4/A amendment
AmendedZoomInfo Technologies Inc. (GTM) · filed Sep 8, 2021
- Accession no.
- 0001794515-21-000276
- Filed
- Sep 8, 2021
- Trade date
- Sep 1, 2021
- Filing delay
- 7 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Sep 3, 2021
This filing lists 2 non-derivative transactions. It carries over 7 transactions from the original filing that it did not restate. Open-market sales total $108.9K. It was filed 7 days after the trade.
This amendment restates part of 0001794515-21-000265 (filed Sep 3, 2021). 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 |
|---|---|
| Hays Joseph ChristopherCIK 0001813655 | Officer (Chief Operating Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
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 0001794515-21-000265 (filed Sep 3, 2021).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Class A Common Stock | MOption exerciseAcquired | +1,702 | –F1 | – | 8,808 | Direct | |
| Sep 1, 2021 | Class A Common Stock | MOption exerciseAcquired | +469 | –F2 | – | 9,277 | Direct | |
| Sep 1, 2021 | Class A Common Stock | FTax withholdingDisposed | −185 | $65.19 | −$12,060.15 | 7,390 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Class A Common Stock | MOption exerciseDisposed | −5,314 | $0.00 | $0 | 63,784 | Direct | |
| Sep 1, 2021 | Class A Common Stock | MOption exerciseAcquired | +5,314 | $0.00 | $0 | 109,382 | Direct | |
| Sep 1, 2021 | Class A Common Stock | MOption exerciseDisposed | −1,702 | $0.00 | $0 | 107,680 | Direct | |
| Sep 1, 2021 | Class A Common Stock | MOption exerciseDisposed | −469 | $0.00 | $0 | 10,313 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
On September 1, 2021, upon vesting, limited liability company units of HSKB Funds, LLC ("HSKB Units") settled into limited liability company units ("OpCo Units") of ZoomInfo Holdings LLC ("OpCo") together with an equal number of shares of Class B common stock ("Class B Common Stock") of ZoomInfo Technologies Inc. ("ZoomInfo"). A portion of these OpCo Units and shares of Class B Common Stock were exchanged for shares of ZoomInfo's Class A common stock ("Class A Common Stock") as described herein.
Referenced by the price of 1 transaction in Table I.
- F2
Reflects phantom units of HSKB Funds II, LLC ("HSKB Phantom Units") that upon vesting settled into shares of Class A Common Stock on a one-for-one basis.
Referenced by the price of 1 transaction in Table I.
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
Reflects shares sold to cover the Reporting Person's tax liability in connection with the vesting of the limited liability company units of HSKB Funds, LLC ("HSKB Units") reported in the original Form 4 filed by the Reporting Person on September 3, 2021 (the "Original Form 4").
- F2
This Form 4/A is being filed to correct the sale price for the shares sold to cover the Reporting Person's tax liability in connection with the vesting of the HSKB Units in the Original Form 4.
Referenced by the price of 2 transactions in Table I.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $63.35 to $64.10, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 above.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $64.441 to $64.665, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 above.
Referenced by the price of 1 transaction in Table I.