Grossberg Eric Scott's Form 4 filing
Brilliant Earth Group, Inc. (BRLT) · filed Jan 14, 2022
- Accession no.
- 0001866757-22-000014
- Filed
- Jan 14, 2022
- Trade date
- Jan 12-14, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 13 non-derivative transactions and 9 derivative transactions. Open-market sales total $4.39M. It was filed 2 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 |
|---|---|
| Grossberg Eric ScottCIK 0001884137 | Director, Officer (Executive Chairman), 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 12, 2022 | Class A Common Stock | CConversionAcquired | +77,484 | $0.00 | $0 | 77,484 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −43,283 | $14.92F3 | −$645,782.36 | 34,201 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −32,795 | $15.86F4 | −$520,128.7 | 1,406 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −1,406 | $16.68F5 | −$23,452.08 | 0 | Indirect | |
| Jan 12, 2022 | Class C Common Stock | JOtherDisposed | −77,484 | $0.00 | $0 | 49,427,766 | Indirect | |
| Jan 13, 2022 | Class A Common Stock | CConversionAcquired | +91,202 | $0.00 | $0 | 91,202 | Indirect | |
| Jan 13, 2022 | Class A Common Stock | SSaleDisposed | −75,003 | $14.34F7 | −$1,075,543.02 | 16,199 | Indirect | |
| Jan 13, 2022 | Class A Common Stock | SSaleDisposed | −16,199 | $14.82F8 | −$240,069.18 | 0 | Indirect | |
| Jan 13, 2022 | Class C Common Stock | JOtherDisposed | −91,202 | $0.00 | $0 | 49,336,564 | Indirect | |
| Jan 14, 2022 | Class A Common Stock | CConversionAcquired | +151,931 | $0.00 | $0 | 151,931 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −136,034 | $12.33F9 | −$1,677,299.22 | 15,897 | Indirect | |
| Jan 14, 2022 | Class A Common Stock | SSaleDisposed | −15,897 | $13.24F10 | −$210,476.28 | 0 | Indirect | |
| Jan 14, 2022 | Class C Common Stock | JOtherDisposed | −151,931 | $0.00 | $0 | 49,184,633 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 12, 2022 | Class D Common Stock | CConversionDisposed | −77,484 | $0.00 | $0 | 49,427,766 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | CConversionAcquired | +77,484 | $0.00 | $0 | 77,484 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | CConversionDisposed | −77,484 | $0.00 | $0 | 0 | Indirect | |
| Jan 13, 2022 | Class D Common Stock | CConversionDisposed | −91,202 | $0.00 | $0 | 49,336,564 | Indirect | |
| Jan 13, 2022 | Class A Common Stock | CConversionAcquired | +91,202 | $0.00 | $0 | 91,202 | Indirect | |
| Jan 13, 2022 | Class A Common Stock | CConversionDisposed | −91,202 | $0.00 | $0 | 0 | Indirect | |
| Jan 12, 2022 | Class D Common Stock | CConversionDisposed | −151,931 | $0.00 | $0 | 49,184,633 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | CConversionAcquired | +151,931 | $0.00 | $0 | 151,931 | Indirect | |
| Jan 14, 2022 | Class A Common Stock | CConversionDisposed | −151,931 | $0.00 | $0 | 0 | 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.
- F3
This transaction was executed in multiple trades ranging from $14.57 to $15.56. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F4
This transaction was executed in multiple trades ranging from $15.57 to $16.44. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F5
This transaction was executed in multiple trades ranging from $16.575 to $16.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F7
This transaction was executed in multiple trades ranging from $13.745 to $14.745. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F8
This transaction was executed in multiple trades ranging from $14.75 to $14.99. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F9
This transaction was executed in multiple trades ranging from $12.00 to $13.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F10
This transaction was executed in multiple trades ranging from $13.01 to $13.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.