Lim James's Form 4 filing
StepStone Group Inc. (STEP) · filed Sep 13, 2023
- Accession no.
- 0001796022-23-000057
- Filed
- Sep 13, 2023
- Trade date
- Sep 11-13, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 3 non-derivative transactions. Open-market sales total $4.08M. 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 11, 2023 | Class A Common Stock | SSaleDisposed | −31,648 | $31.42F1 | −$994,380.16 | 6,781,934 | Indirect | |
| Sep 12, 2023 | Class A Common Stock | SSaleDisposed | −43,515 | $31.64F2 | −$1,376,814.6 | 6,738,419 | Indirect | |
| Sep 13, 2023 | Class A Common Stock | SSaleDisposed | −53,925 | $31.76F3 | −$1,712,658 | 6,684,494 | 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 $31.62. 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.
- F2
This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $31.12 to $31.81. 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 $31.46 to $32.04. 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.