Form 4 for BRLT Brilliant Earth Group, Inc.
Accepted 2022-01-14 00:00:00 ET · period of report 2022-01-12 · accession 0001866757-22-000016 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2022-01-14 | 2022-01-12+ | BRLT | Gerstein Beth Tamara | CEO, Dir, 10% | C - Cnv Deriv | $0.00 | +320.6K | 151.9K | New | $0 |
| DMI | 2022-01-14 | 2022-01-12+ | BRLT | Gerstein Beth Tamara | CEO, Dir, 10% | S - Sale | $13.70 | -320.6K | 16.2K | -95% | -$4.39M |
| DMI | 2022-01-14 | 2022-01-12+ | BRLT | Gerstein Beth Tamara | CEO, Dir, 10% | J - Other | $0.00 | -320.6K | 49.34M | -0.6% | $0 |
| DMI | 2022-01-14 | 2022-01-12+ | BRLT | Gerstein Beth Tamara | CEO, Dir, 10% | C - Cnv Deriv | $0.00 | -320.6K | 49.43M | -0.6% | $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 | 2022-01-12 | C | A | 77,484 | $0.00 | 77,484 | I See Footnote | — | — | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 2 | Common | Class A Common Stock | 2022-01-12 | S | D | 43,283 | $14.92 | 34,201 | I See Footnote | — | — | (F3) This transaction was executed in multiple trades ranging from $14.57 to $15.56. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 3 | Common | Class A Common Stock | 2022-01-12 | S | D | 32,795 | $15.86 | 1,406 | I See Footnote | — | — | (F4) This transaction was executed in multiple trades ranging from $15.57 to $16.44. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 4 | Common | Class A Common Stock | 2022-01-12 | S | D | 1,406 | $16.68 | 0 | I See Footnote | — | — | (F5) This transaction was executed in multiple trades ranging from $16.575 to $16.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 5 | Common | Class C Common Stock | 2022-01-12 | J | D | 77,484 | $0.00 | 49,427,766 | I See Footnote | — | — | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 6 | Common | Class A Common Stock | 2022-01-13 | C | A | 91,202 | $0.00 | 91,202 | I See Footnote | — | — | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 7 | Common | Class C Common Stock | 2022-01-14 | J | D | 151,931 | $0.00 | 49,184,633 | I See Footnote | — | — | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 8 | Common | Class A Common Stock | 2022-01-13 | S | D | 16,199 | $14.82 | 0 | I See Footnote | — | — | (F8) This transaction was executed in multiple trades ranging from $14.75 to $14.99. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 9 | Common | Class C Common Stock | 2022-01-13 | J | D | 91,202 | $0.00 | 49,336,564 | I See Footnote | — | — | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 10 | Common | Class A Common Stock | 2022-01-14 | C | A | 151,931 | $0.00 | 151,931 | I See Footnote | — | — | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 11 | Common | Class A Common Stock | 2022-01-14 | S | D | 136,034 | $12.33 | 15,897 | I See Footnote | — | — | (F9) This transaction was executed in multiple trades ranging from $12.00 to $13.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 12 | Common | Class A Common Stock | 2022-01-14 | S | D | 15,897 | $13.24 | 0 | I See Footnote | — | — | (F10) This transaction was executed in multiple trades ranging from $13.01 to $13.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 13 | Common | Class A Common Stock | 2022-01-13 | S | D | 75,003 | $14.34 | 16,199 | I See Footnote | — | — | (F7) This transaction was executed in multiple trades ranging from $13.745 to $14.745. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. |
| 14 | Derivative | Common Units | 2022-01-13 | C | D | 91,202 | $0.00 | 49,336,564 | I See Footnote | $0.00 · — to — | 91,202 Class D Common Stock | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. (F11) The Common Units may be redeemed by the Reporting Person at any time for shares of Class D Common Stock on a 1-to-1 basis, and a corresponding number of shares of Class C Common Stock will be forfeited in connection with the redemption. The Common Units have no expiration date. |
| 15 | Derivative | Class D Common Stock | 2022-01-14 | C | D | 151,931 | $0.00 | 0 | I See Footnote | $0.00 · — to — | 151,931 Class A Common Stock | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. (F12) The Class D Common Stock is convertible at any time at the option of the holder into the Issuer's Class A Common Stock on a one-to-one basis. |
| 16 | Derivative | Class D Common Stock | 2022-01-12 | C | A | 151,931 | $0.00 | 151,931 | I See Footnote | $0.00 · — to — | 151,931 Class A Common Stock | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. (F12) The Class D Common Stock is convertible at any time at the option of the holder into the Issuer's Class A Common Stock on a one-to-one basis. |
| 17 | Derivative | Common Units | 2022-01-14 | C | D | 151,931 | $0.00 | 49,184,633 | I See Footnote | $0.00 · — to — | 151,931 Class D Common Stock | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. (F11) The Common Units may be redeemed by the Reporting Person at any time for shares of Class D Common Stock on a 1-to-1 basis, and a corresponding number of shares of Class C Common Stock will be forfeited in connection with the redemption. The Common Units have no expiration date. |
| 18 | Derivative | Class D Common Stock | 2022-01-13 | C | D | 91,202 | $0.00 | 0 | I See Footnote | $0.00 · — to — | 91,202 Class A Common Stock | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. (F12) The Class D Common Stock is convertible at any time at the option of the holder into the Issuer's Class A Common Stock on a one-to-one basis. |
| 19 | Derivative | Class D Common Stock | 2022-01-13 | C | A | 91,202 | $0.00 | 91,202 | I See Footnote | $0.00 · — to — | 91,202 Class A Common Stock | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. (F12) The Class D Common Stock is convertible at any time at the option of the holder into the Issuer's Class A Common Stock on a one-to-one basis. |
| 20 | Derivative | Class D Common Stock | 2022-01-12 | C | D | 77,484 | $0.00 | 0 | I See Footnote | $0.00 · — to — | 77,484 Class A Common Stock | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. (F12) The Class D Common Stock is convertible at any time at the option of the holder into the Issuer's Class A Common Stock on a one-to-one basis. |
| 21 | Derivative | Class D Common Stock | 2022-01-12 | C | A | 77,484 | $0.00 | 77,484 | I See Footnote | $0.00 · — to — | 77,484 Class A Common Stock | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. (F12) The Class D Common Stock is convertible at any time at the option of the holder into the Issuer's Class A Common Stock on a one-to-one basis. |
| 22 | Derivative | Common Units | 2022-01-12 | C | D | 77,484 | $0.00 | 49,427,766 | I See Footnote | $0.00 · — to — | 77,484 Class D Common Stock | (F1) Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts. (F11) The Common Units may be redeemed by the Reporting Person at any time for shares of Class D Common Stock on a 1-to-1 basis, and a corresponding number of shares of Class C Common Stock will be forfeited in connection with the redemption. The Common Units have no expiration date. |