Neptune Securities Settlement Fund's Form 4 filing
Neptune Wellness Solutions Inc. (NEPTF) · filed Nov 21, 2023
- Accession no.
- 0001997608-23-000006
- Filed
- Nov 21, 2023
- Trade date
- Nov 13-21, 2023
- Filing delay
- 8 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions. Open-market sales total $266.3K. It was filed 8 days after the trade, past the 2-business-day deadline.
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 13, 2023 | common stock | SSaleDisposed | −613 | $0.70 | −$429.1 | 2,344,323 | Direct | |
| Nov 14, 2023 | common stock | SSaleDisposed | −32 | $0.70 | −$22.4 | 2,344,291 | Direct | |
| Nov 20, 2023 | common stock | SSaleDisposed | −215,838 | $0.88 | −$189,937.44 | 2,128,453 | Direct | |
| Nov 21, 2023 | common stock | SSaleDisposed | −98,531 | $0.77 | −$75,868.87 | 2,029,922 | 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.