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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 44 | (6) | 02/28/2031 | Common Stock | 2,273 | 2,273 | D | ||||||||
Stock Option (Right to Buy) | $ 20.10 | (7) | 11/03/2030 | Common Stock | 1,493 | 1,493 | D | ||||||||
Stock Option (Right to Buy) | $ 4.71 | (8) | 04/16/2029 | Common Stock | 5,304 | 5,304 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sampson Glenn A. C/O FATHOM HOLDINGS INC. 2000 REGENCY PARKWAY SUITE 300 CARY, NC 27518 |
X | X |
/s/ Donald R. Reynolds, by Power of Attorney | 06/10/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Sales Plan adopted by the reporting person on May 17, 2021. |
(2) | The reported securities were sold in multiple transactions at prices ranging from $32.00 to $32.53. The reporting person undertakes to provide to 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 sold at each separate price within such range. |
(3) | The reported securities were sold in multiple transactions at prices ranging from $32.00 to $32.86. The reporting person undertakes to provide to 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 sold at each separate price within such range. |
(4) | The reported securities were sold in multiple transactions at prices ranging from $31.51 to $32.48. The reporting person undertakes to provide to 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 sold at each separate price within such range. |
(5) | The reported securities were sold in multiple transactions at prices ranging from $32.50 to $32.69. The reporting person undertakes to provide to 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 sold at each separate price within such range. |
(6) | The option will vest in full on March 1, 2022, provided that the reporting person provides Continuous Service to the Issuer or a Related Entity as of such vesting date. |
(7) | The option will vest in full on November 4, 2021, provided that the reporting person provides Continuous Service to the Issuer or a Related Entity as of such vesting date. |
(8) | The option vested in full on April 16, 2020. |