Form 4/A for ROOT Root, Inc.
Accepted 2022-01-04 00:00:00 ET · period of report 2021-11-19 · accession 0001209191-22-000542 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DAI | 2022-01-04 | 2021-11-23 | ROOT | Olsen Christopher | 10% | C - Cnv Deriv | — | +10.10M | 10.10M | New | — |
| DA | 2022-01-04 | 2021-11-19 | ROOT | Olsen Christopher | 10% | D - Sale to Iss | $0.00 | -15.3K | 0 | -100% | $0 |
| DAI | 2022-01-04 | 2021-11-23 | ROOT | Olsen Christopher | 10% | J - Other | $0.00 | -10.10M | 0 | -100% | $0 |
| DAI | 2022-01-04 | 2021-11-23 | ROOT | Olsen Christopher | 10% | C - Cnv Deriv | $0.00 | -10.10M | 25.98M | -28% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-11-23 | C | A | 10,100,000 | — | 10,100,000 | I See Footnote | — | — | (F1) These shares were converted from Class B Common Stock into Class A Common Stock on a one-for-one basis for no consideration. (F2) The shares are held of record by DC I Investment LLC ("DC I Investment"). Christopher Olsen is the Managing Director of DC I Investment and has sole voting and dispositive power with respect to the shares held of record by DC I Investment. |
| 2 | Common | Class A Common Stock | 2021-11-19 | D | D | 15,290 | $0.00 | 0 | D | — | — | (F4) Represents the cancellation of restricted stock units ("RSUs") held by the Reporting Person for no consideration. The shares subject to the RSIs were unvested and therefore automatically forfeited at the time of the Reporting Person's resignation from the Issuer's Board of Directors. The RSUs were formally cancelled by the Issuer on 12/29/2021. |
| 3 | Common | Class A Common Stock | 2021-11-23 | J | D | 10,100,000 | $0.00 | 0 | I See Footnote | — | — | (F2) The shares are held of record by DC I Investment LLC ("DC I Investment"). Christopher Olsen is the Managing Director of DC I Investment and has sole voting and dispositive power with respect to the shares held of record by DC I Investment. |
| 4 | Derivative | Class B Common Stock | 2021-11-23 | C | D | 10,100,000 | $0.00 | 25,980,779 | I See Footnote | — · — to — | 10,100,000 Class A Common Stock | (F1) These shares were converted from Class B Common Stock into Class A Common Stock on a one-for-one basis for no consideration. (F2) The shares are held of record by DC I Investment LLC ("DC I Investment"). Christopher Olsen is the Managing Director of DC I Investment and has sole voting and dispositive power with respect to the shares held of record by DC I Investment. (F6) Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date. |