Reyes Jose N Jr's Form 4 filing
Nuscale Power Corp (SMR) · filed May 4, 2023
- Accession no.
- 0001822966-23-000084
- Filed
- May 4, 2023
- Trade date
- Nov 22, 2022-May 3, 2023
- Filing delay
- 163 daysLate
- Rule 10b5-1 plan
- Checked
This filing lists 5 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.38M. It was filed 163 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Reyes Jose N JrCIK 0001912965 | Officer (Chief Technology Officer) |
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 22, 2022 | Class A Common Stock | CConversionAcquired | +151,203 | $10.92 | +$1,651,136.76 | 151,203 | Indirect | |
| May 2, 2023 | Class A Common Stock | MOption exerciseAcquired | +242,480 | $3.24 | +$785,635.2 | 433,930 | Indirect | |
| May 2, 2023 | Class A Common Stock | SSaleDisposed | −100,000 | $8.07F2 | −$807,000 | 333,930 | Indirect | |
| May 2, 2023 | Class A Common Stock | MOption exerciseAcquired | +32,679 | $8.54 | +$279,078.66 | 366,609 | Indirect | |
| May 3, 2023 | Class A Common Stock | SSaleDisposed | −72,724 | $7.90F4 | −$574,519.6 | 293,885 | 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 22, 2022 | Class B Common Stock | CConversionAcquired | +151,203 | $0.00 | $0 | 151,203 | Indirect | |
| May 2, 2023 | Class A Common Stock | MOption exerciseDisposed | −242,480 | $0.00 | $0 | 0 | Indirect | |
| May 2, 2023 | Class A Common Stock | MOption exerciseDisposed | −32,679 | $0.00 | $0 | 146,788 | 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.91 to $8.34, 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.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.75 to $8.22, 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.