SEC Form 4 · accession 0001683168-18-002696
AGNT, Inc. · AGNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Stanwood Miller
Director
Period of report
Sep 6, 2018
Accepted (ET)
Sep 10, 2018 · 7:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001495932
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 6, 2018 | M | 80 | $1.76 | A | 80 | D | |
| Common Stock | Sep 6, 2018 | S | 80 | $16.00 | D | 0 | D | |
| Common Stock | Sep 10, 2018 | M | 4,820 | $1.76 | A | 4,820 | D | |
| Common StockF2 | Sep 10, 2018 | S | 4,820 | $16.11 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $1.76 | Sep 6, 2018 | M | 80 | D | — | Jul 20, 2026 | Common Stock | 80 | 1,324,820 | D |
| Stock Option (Right to Buy)F3 | $1.76 | Sep 10, 2018 | M | 4,820 | D | — | Jul 20, 2026 | Common Stock | 4,820 | 1,320,000 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a preexisting Rule 10b5-1 trading plan adopted by the reporting person.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.21, inclusive. The reporting person undertakes to provide to EXP World Holdings, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2) to this Form 4.
- F3The Stock Option shares vest ratably over a three year period in 36 monthly installments, with the final vesting date on July 20, 2019, subject to acceleration if the Issuer is acquired.