Marshall Jolene Lau's Form 4 filing
Smartsheet Inc (SMAR) · filed Nov 17, 2022
- Accession no.
- 0001892823-22-000020
- Filed
- Nov 17, 2022
- Trade date
- Nov 15-16, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 4 derivative transactions. Open-market sales total $188.7K. 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 |
|---|---|
| Marshall Jolene LauCIK 0001892823 | Officer (Chief Legal 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 15, 2022 | Class A Common Stock | MOption exerciseAcquired | +348 | –F1 | – | 12,849 | Direct | |
| Nov 15, 2022 | Class A Common Stock | MOption exerciseAcquired | +715 | –F1 | – | 13,564 | Direct | |
| Nov 15, 2022 | Class A Common Stock | MOption exerciseAcquired | +465 | –F1 | – | 14,029 | Direct | |
| Nov 15, 2022 | Class A Common Stock | MOption exerciseAcquired | +6,408 | –F1 | – | 20,437 | Direct | |
| Nov 15, 2022 | Class A Common Stock | FTax withholdingDisposed | −1,935 | $32.08 | −$62,074.8 | 18,502 | Direct | |
| Nov 16, 2022 | Class A Common Stock | SSaleDisposed | −6,001 | $31.45 | −$188,731.45 | 12,501 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2022 | Class A Common Stock | MOption exerciseDisposed | −348 | $0.00 | $0 | 349 | Direct | |
| Nov 15, 2022 | Class A Common Stock | MOption exerciseDisposed | −715 | $0.00 | $0 | 3,576 | Direct | |
| Nov 15, 2022 | Class A Common Stock | MOption exerciseDisposed | −465 | $0.00 | $0 | 4,183 | Direct | |
| Nov 15, 2022 | Class A Common Stock | MOption exerciseDisposed | −6,408 | $0.00 | $0 | 19,226 | 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.
- F1
Each RSU represents a contingent right to receive 1 share of the issuer's Class A Common Stock upon settlement.
Referenced by the price of 4 transactions in Table I.