Randel Johnny D's Form 4 filing
StepStone Group Inc. (STEP) · filed Oct 4, 2021
- Accession no.
- 0001796022-21-000068
- Filed
- Oct 4, 2021
- Trade date
- Sep 30-Oct 4, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $944.5K. It was filed 4 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 |
|---|---|
| Randel Johnny DCIK 0001821981 | Officer (Chief Financial Officer), 10% Owner, Other: See remarks |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 30, 2021 | Class A Common Stock | CConversionAcquired | +75,000 | –F2 | – | 106,300 | Direct | |
| Sep 30, 2021 | Class B Common Stock | DReturned to the companyDisposed | −75,000 | $0.00 | $0 | 1,259,626 | Direct | |
| Oct 1, 2021 | Class A Common Stock | SSaleDisposed | −15,412 | $41.75F3 | −$643,451 | 90,888 | Direct | |
| Oct 4, 2021 | Class A Common Stock | SSaleDisposed | −7,193 | $41.85F4 | −$301,027.05 | 83,695 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 30, 2021 | Class A Common Stock | CConversionDisposed | −75,000 | –F2 | – | 1,259,626 | Direct |
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.
- F2
The Class B Units of the Partnership are exchangeable, on a one-for-one basis, for shares of Class A Common Stock of the Issuer. Upon exchange of a Class B Unit, the corresponding share of Class B Common Stock of the Issuer are automatically redeemed and cancelled.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F3
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $40.00 to $42.64. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F4
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $40.84 to $42.78. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
Remarks
Member of 13D Group that owns more than 10%