Lim James's Form 4 filing
StepStone Group Inc. (STEP) · filed Sep 8, 2023
- Accession no.
- 0001796022-23-000055
- Filed
- Sep 8, 2023
- Trade date
- Sep 6-8, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 3 non-derivative transactions. Open-market sales total $1.23M. It was filed 2 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 |
|---|---|
| Lim JamesCIK 0001543577 | 10% Owner |
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 6, 2023 | Class A Common Stock | SSaleDisposed | −500 | $31.01F1 | −$15,505 | 6,852,521 | Indirect | |
| Sep 7, 2023 | Class A Common Stock | SSaleDisposed | −18,466 | $31.15F2 | −$575,215.9 | 6,834,055 | Indirect | |
| Sep 8, 2023 | Class A Common Stock | SSaleDisposed | −20,473 | $31.21F3 | −$638,962.33 | 6,813,582 | 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.
- F1
This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $31.00 to $31.03. 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.
- F2
This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $31.00 to $31.28. 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.
- F3
This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $31.00 to $31.62. 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.