Neptune Securities Settlement Fund's Form 4 filing
Neptune Wellness Solutions Inc. (NEPTF) · filed Nov 30, 2023
- Accession no.
- 0001997608-23-000008
- Filed
- Nov 30, 2023
- Trade date
- Nov 28-30, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions. Open-market sales total $187.6K. 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 |
|---|---|
| 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 28, 2023 | common stock | SSaleDisposed | −29,129 | $0.70 | −$20,390.3 | 1,996,855 | Direct | |
| Nov 29, 2023 | common stock | SSaleDisposed | −16,602 | $0.71 | −$11,787.42 | 1,980,253 | Direct | |
| Nov 30, 2023 | common stock | SSaleDisposed | −201,873 | $0.77 | −$155,442.21 | 1,778,380 | 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.