Weingarten Tomer's Form 4/A amendment
AmendedSentinelOne, Inc. (S) · filed Apr 8, 2022
- Accession no.
- 0001866222-22-000009
- Filed
- Apr 8, 2022
- Trade date
- Dec 16, 2021
- Filing delay
- 113 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Dec 17, 2021
This filing lists 3 non-derivative transactions and 3 derivative transactions. It carries over 8 transactions from the original filing that it did not restate. Open-market sales total $6.12M. It was filed 113 days after the trade.
This amendment restates part of 0001209191-21-070355 (filed Dec 17, 2021). 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 |
|---|---|
| Weingarten TomerCIK 0001866222 | Director, Officer (President, CEO) |
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 A Common Stock | CConversionAcquired | +19,215 | $1.20 | +$23,058 | 19,215 | Direct | |
| Dec 16, 2021 | Class A Common Stock | SSaleDisposed | −18,273 | $50.44F3 | −$921,690.12 | 942 | Direct | |
| Dec 16, 2021 | Class A Common Stock | SSaleDisposed | −942 | $51.03F4 | −$48,070.26 | 0 | 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 B Common Stock | MOption exerciseDisposed | −19,215 | $0.00 | $0 | 575,000 | Direct | |
| Dec 16, 2021 | Class A Common Stock | MOption exerciseAcquired | +19,215 | $0.00 | $0 | 19,215 | Direct | |
| Dec 16, 2021 | Class A Common Stock | CConversionDisposed | −19,215 | $0.00 | $0 | 0 | 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 0001209191-21-070355 (filed Dec 17, 2021).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2021 | Class A Common Stock | CConversionAcquired | +105,785 | $1.20 | +$126,942 | 105,785 | Direct | |
| Dec 15, 2021 | Class A Common Stock | SSaleDisposed | −43,285 | $50.19F3 | −$2,172,474.15 | 62,500 | Direct | |
| Dec 15, 2021 | Class A Common Stock | SSaleDisposed | −10,909 | $46.52F4 | −$507,486.68 | 51,591 | Direct | |
| Dec 15, 2021 | Class A Common Stock | SSaleDisposed | −30,431 | $47.54F5 | −$1,446,689.74 | 21,160 | Direct | |
| Dec 15, 2021 | Class A Common Stock | SSaleDisposed | −21,160 | $48.22F6 | −$1,020,335.2 | 0 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2021 | Class B Common Stock | MOption exerciseDisposed | −105,785 | $0.00 | $0 | 594,215 | Direct | |
| Dec 15, 2021 | Class A Common Stock | MOption exerciseAcquired | +105,785 | $0.00 | $0 | 105,785 | Direct | |
| Dec 15, 2021 | Class A Common Stock | CConversionDisposed | −105,785 | $0.00 | $0 | 0 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.53, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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 herein.
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 $46.01 to $47.005, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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 herein.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.01 to $48.005, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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 herein.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.01 to $48.67, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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 herein.
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
Represents the number of shares that were acquired upon conversion of Class B common stock to Class A common stock.
- F2
The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $51.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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 herein.
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 $51.01 to $51.055, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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 herein.
Referenced by the price of 1 transaction in Table I.
- F5
The stock option vests and becomes exercisable in 48 equal monthly installments beginning on March 1, 2019, subject to the reporting person's continued service to the Issuer on each vesting date.
- F6
Each share of Class B common stock is convertible into one share of Class A common stock at any time and will convert automatically upon certain transfers and upon the earlier of (i) the date specified by a vote of the holders of 66 2/3% of the then outstanding shares of Class B common stock, (ii) seven years from the effective date of the Issuer's initial public offering ("IPO"), (iii) the first date following the IPO on which the number of shares of outstanding Class B common stock (including shares of Class B common stock subject to outstanding stock options) held by the Reporting Person, including certain entities that the Reporting Person controls, is less than 25% of the number of shares of Class B common stock (including shares of Class B common stock subject to outstanding stock options) that the Reporting Person originally held as of the date of the IPO, (continued)
- F7
(continued from footnote 6) (iv) the date fixed by the Issuer's board of directors (the "Board"), following the first date following the completion of this offering when the Reporting Person is no longer providing services to the Issuer as an officer, employee, consultant or member of the Board, (v) the date fixed by the Board following the date, if applicable, on which the Reporting Person is terminated for cause, as defined in the Issuer's restated certificate of incorporation, and (vi) the date that is 12 months after the death or disability, as defined in the Issuer's restated certificate of incorporation, of the Reporting Person.
Remarks
The Reporting Person inadvertently omitted the transaction reported herein due to an administrative error. The total amount of stock options (right to buy) is reported as of December 16, 2021 and will be updated in the Reporting Person's next filing.