Neptune Securities Settlement Fund's Form 4 filing
Neptune Wellness Solutions Inc. (NEPTF) · filed Nov 13, 2023
- Accession no.
- 0001997608-23-000005
- Filed
- Nov 13, 2023
- Trade date
- Nov 8-10, 2023
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions. Open-market sales total $20.6K. It was filed 5 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 |
|---|---|
| Neptune Securities Settlement FundCIK 0001997608 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 8, 2023 | common stock | SSaleDisposed | −28,079 | $0.71 | −$19,936.09 | 2,345,869 | Direct | |
| Nov 10, 2023 | common stock | SSaleDisposed | −929 | $0.70 | −$650.3 | 2,344,940 | 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.