Form 4/A for NXPL NextPlat Corp
Accepted 2021-09-24 00:00:00 ET · period of report 2020-08-21 · accession 0001493152-21-023594 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DA | 2021-09-24 | 2021-09-23 | NXPL | CARLISE THERESA | CAO | F - Tax | $5.14 | -2,763 | 12.4K | -18% | -$14.2K |
| DA | 2021-09-24 | 2021-09-23 | NXPL | CARLISE THERESA | CAO | M - OptEx | $1.00 | +14.2K | 15.2K | +1,420% | +$14.2K |
| DA | 2021-09-24 | 2020-08-21 | NXPL | CARLISE THERESA | CAO | A - Grant | $0.00 | +1,000 | 1,000 | New | $0 |
| DA | 2021-09-24 | 2021-09-23 | NXPL | CARLISE THERESA | CAO | M - OptEx | $0.00 | -14.2K | 0 | -100% | $0 |
| DA | 2021-09-24 | 2020-08-21 | NXPL | CARLISE THERESA | CAO | A - Grant | $0.00 | +14.2K | 14.2K | New | $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 | Common Stock, par value $0.0001 | 2021-09-23 | F | D | 2,763 | $5.14 | 12,437 | D | — | — | (F3) On September 23, 2021, the reporting person exercised options to purchase 14,200 shares at $1.00 per share. The Reporting Person paid the exercise price on a cashless basis (a "net exercise"), resulting in the Issuer withholding 2,763 of the option shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,437 shares. |
| 2 | Common | Common Stock, par value $0.0001 | 2021-09-23 | M | A | 14,200 | $1.00 | 15,200 | D | — | — | (F1) This Form 4 Amendment is being submitted to correct the disclosure regarding the options granted on 8/21/2020. On May 28, 2021, the Issuer effected a 1-for-5 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. |
| 3 | Common | Common Stock, par value $0.0001 | 2020-08-21 | A | A | 1,000 | $0.00 | 1,000 | D | — | — | (F2) Represents restricted stock awarded by the Board of Directors on 8/21/2020 and granted pursuant to the Company's 2020 Equity Incentive Plan. (F1) This Form 4 Amendment is being submitted to correct the disclosure regarding the options granted on 8/21/2020. On May 28, 2021, the Issuer effected a 1-for-5 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. |
| 4 | Derivative | Non-Qualified Stock Option (right to buy) | 2021-09-23 | M | D | 14,200 | $0.00 | 0 | D | $1.00 · — to 2030-08-20 | 14,200 Common Stock | (F1) This Form 4 Amendment is being submitted to correct the disclosure regarding the options granted on 8/21/2020. On May 28, 2021, the Issuer effected a 1-for-5 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. (F4) The grant of these options was approved by the Registrants Board of Directors on 8/21/2020 and subject to the Company's 2020 Equity Incentive Plan. All options vested immediately upon grant date. |
| 5 | Derivative | Non-Qualified Stock Option (right to buy) | 2020-08-21 | A | A | 14,200 | $0.00 | 14,200 | D | $1.00 · — to 2030-08-20 | 14,200 Common Stock | (F4) The grant of these options was approved by the Registrants Board of Directors on 8/21/2020 and subject to the Company's 2020 Equity Incentive Plan. All options vested immediately upon grant date. |