Hart Scott W's Form 4 filing
StepStone Group Inc. (STEP) · filed Nov 22, 2021
- Accession no.
- 0001796022-21-000109
- Filed
- Nov 22, 2021
- Trade date
- Nov 18, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $3.45M. 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 |
|---|---|
| Hart Scott WCIK 0001821974 | Director, Officer (Co-Chief Executive Officer), 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 18, 2021 | Class B Common Stock | DReturned to the companyDisposed | −66,517 | $0.00 | $0 | 3,041,291 | Indirect | |
| Nov 18, 2021 | Class A Common Stock | CConversionAcquired | +66,517 | –F2 | – | 66,517 | Indirect | |
| Nov 18, 2021 | Class A Common Stock | SSaleDisposed | −66,517 | $51.83 | −$3,447,576.11 | 0 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 18, 2021 | Class A Common Stock | CConversionDisposed | −66,517 | –F2 | – | 3,041,291 | 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.
- 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.
Remarks
Member of 13D Group that owns more than 10%