SEC Form 4 · accession 0001683168-18-003465
AGNT, Inc. · AGNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Stanwood Miller
Director
Period of report
Nov 13, 2018
Accepted (ET)
Nov 15, 2018 · 7:26 pm EST
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 | Nov 13, 2018 | M | 3,077 | $1.76 | A | 3,077 | D | |
| Common StockF2 | Nov 13, 2018 | S | 3,077 | $12.53 | 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 | Nov 13, 2018 | M | 3,077 | D | — | Jul 20, 2026 | Common Stock | 3,077 | 1,285,800 | D |
Explanation of responses
- F1The sale reported in this Form 4 was 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 $12.50 to $12.60, 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.