Murgo Rudy's Form 4/A amendment
AmendedNuscale Power Corp (SMR) · filed Feb 23, 2023
- Accession no.
- 0001822966-23-000024
- Filed
- Feb 23, 2023
- Trade date
- Feb 13, 2023
- Filing delay
- 10 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Feb 15, 2023
This filing lists 3 non-derivative transactions and 3 derivative transactions. It carries over 1 transaction from the original filing that it did not restate. Open-market sales total $218.8K. It was filed 10 days after the trade.
This amendment restates part of 0001822966-23-000018 (filed Feb 15, 2023). 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 |
|---|---|
| Murgo RudyCIK 0001927295 | Officer (Treasurer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Feb 13, 2023 | Class A Common Stock | MOption exerciseAcquired | +12,269 | $6.41 | +$78,644.29 | 20,063 | Direct | |
| Feb 13, 2023 | Class A Common Stock | MOption exerciseAcquired | +5,773 | $6.41 | +$37,004.93 | 25,836 | Direct | |
| Feb 13, 2023 | Class A Common Stock | MOption exerciseAcquired | +2,815 | $9.53 | +$26,826.95 | 7,854 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 13, 2023 | Class A Common Stock | MOption exerciseDisposed | −12,269 | $0.00 | $0 | 5,051 | Direct | |
| Feb 13, 2023 | Class A Common Stock | MOption exerciseDisposed | −5,773 | $0.00 | $0 | 11,547 | Direct | |
| Feb 13, 2023 | Class A Common Stock | MOption exerciseDisposed | −2,815 | $0.00 | $0 | 7,577 | Direct |
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 0001822966-23-000018 (filed Feb 15, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 13, 2023 | Class A Common Stock | SSaleDisposed | −20,797 | $10.52F1 | −$218,784.44 | 7,854 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.33 to $10.735, inclusive. The reporting person undertakes to provide to NuScale Power Corporation, any security holder of NuScale Power Corporation, 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 ranges set forth in this footnote.
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
The number of Acquired Securities and Amount of Securities Beneficially Owned following the transaction were inaccurately reported on Form 4 filed February 15, 2023.
- F2
The Number of Derivatives Disposed of and Number of Derivative Securities Beneficially owned following reported transaction were inaccurately reported on Form 4 filed February 15, 2022.
- F3
The option became exercisable for 25% of the shares on April 1, 2021, and for 1/48th of the shares at the end of each one-month period thereafter, so that the option will become fully exercisable on April 1, 2024.
- F4
The option became exercisable for 25% of the shares on November 1, 2022, and for 1/48th of the shares at the end of each one-month period thereafter, so that the option will become fully exercisable on November 1, 2025.
- F5
The option became exercisable for 25% of the shares on January 4, 2023, and for 1/48th of the shares at the end of each one-month period thereafter, so that the option will become fully exercisable on January 4, 2026.