Kee Scott David's Form 4 filing
indie Semiconductor, Inc. (INDI) · filed Dec 20, 2021
- Accession no.
- 0001865420-21-000004
- Filed
- Dec 20, 2021
- Trade date
- Dec 16-17, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 2 derivative transactions. Open-market sales total $3.35M. It was filed 4 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 |
|---|---|
| Kee Scott DavidCIK 0001865420 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 16, 2021 | Class V Common Stock | MOption exerciseDisposed | −5,700 | $0.00 | $0 | 5,728,649 | Direct | |
| Dec 16, 2021 | Class A Common Stock | MOption exerciseAcquired | +5,700 | $0.00 | $0 | 6,333 | Direct | |
| Dec 16, 2021 | Class A Common Stock | SSaleDisposed | −5,700 | $12.25 | −$69,825 | 633 | Direct | |
| Dec 17, 2021 | Class V Common Stock | MOption exerciseDisposed | −300,000 | $0.00 | $0 | 5,428,649 | Direct | |
| Dec 17, 2021 | Class A Common Stock | MOption exerciseAcquired | +300,000 | $0.00 | $0 | 300,633 | Direct | |
| Dec 17, 2021 | Class A Common Stock | SSaleDisposed | −300,000 | $10.94 | −$3,282,000 | 633 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 16, 2021 | Class A Common Stock | MOption exerciseDisposed | −5,700 | $0.00 | $0 | 5,728,649 | Direct | |
| Dec 17, 2021 | Class A Common Stock | MOption exerciseDisposed | −300,000 | $0.00 | $0 | 5,428,649 | 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.
No transaction price on this filing refers to a footnote.