Tannenbaum Leonard M's Form 4/A amendment
AmendedAdvanced Flower Capital Inc. (AFCG) · filed Mar 21, 2023
- Accession no.
- 0001829126-23-002168
- Filed
- Mar 21, 2023
- Trade date
- Mar 8, 2023
- Filing delay
- 13 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Mar 9, 2023
This filing lists 2 non-derivative transactions. Open-market purchases total $368.9K. It was filed 13 days after the trade.
This amendment replaces 0001209191-23-017605 (filed Mar 9, 2023).
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 |
|---|---|
| Tannenbaum Leonard MCIK 0001200461 | Director, Officer (Chief Executive Officer), 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 8, 2023 | Common Stock | PPurchaseAcquired | +25,000 | $14.20F2 | +$355,000 | 30,000 | Indirect | |
| Mar 8, 2023 | Common Stock | PPurchaseAcquired | +1,000 | $13.94 | +$13,940 | 29,690 | 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
The original Form 4, filed on March 9, 2023, is being amended by this Form 4/A to correct an administrative error relating to the transaction code, which this Form 4/A correctly reports as an open market purchase.
- F2
This transaction was executed in multiple trades at prices ranging from $14.17 to $14.20; the price reported reflects the weighted average price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
Referenced by the price of 1 transaction in Table I.
- F3
These shares are held by the Leonard M. Tannenbaum Foundation, for which the Reporting Person serves as the President. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest.
- F4
The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.