AgileThought, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows, 9 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-09-07: Reporting owner Campos Carlos Alberto Rohm; Form 4; Security Public redeemable warrants; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2021-09-02: Reporting owner Campos Carlos Alberto Rohm; Form 4; Security Public redeemable warrants; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2021-08-20: Reporting owner LIV GP Master, S.A.P.I. de C.V. | LIV Capital Acquisition Sponsor, L.P.; Form 4; Security Private Placement Warrants; Transaction S Open market or private sale of non-derivative or derivative security.
- 2021-08-13: Reporting owner Campos Carlos Alberto Rohm; Form 4; Security Private Placement Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-09-07 | Campos Carlos Alberto Rohm Other (Former Director) | 4 | Public redeemable warrants Derivative · Indirect · By spouse | P Open market or private purchase of non-derivative or derivative security | +32,063 122,063 owned after | $11.50 exercise price | 2021-09-17 | |
| 2021-09-02 | Campos Carlos Alberto Rohm Other (Former Director) | 4 | Public redeemable warrants Derivative · Indirect · By spouse | P Open market or private purchase of non-derivative or derivative security | +90,000 90,000 owned after | $11.50 exercise price | 2021-09-17 | |
| 2021-08-20 | LIV GP Master, S.A.P.I. de C.V. | LIV Capital Acquisition Sponsor, L.P. 10% Owner | 10% Owner | 4 | Private Placement Warrants Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −513,625 0 owned after | no price filed | 2021-08-24 | |
| 2021-08-13 | Campos Carlos Alberto Rohm Director | 4 | Private Placement Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | no price filed | 2021-08-16 | |
| 2021-08-13 | LIV GP Master, S.A.P.I. de C.V. | LIV Capital Acquisition Sponsor, L.P. 10% Owner | 10% Owner | 4 | Private Placement Warrants Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −66,750 513,625 owned after | no price filed | 2021-08-16 | |
| 2021-06-25 | LIV Capital Acquisition Sponsor, L.P. | LIV GP Master, S.A.P.I. de C.V. 10% Owner | 10% Owner | 4 | Private Placement Warrants Derivative · Direct | S Open market or private sale of non-derivative or derivative security | +2,230,875 580,375 owned after | no price filed | 2021-06-28 | |
| 2021-06-25 | Rossi Alexander R. Director, Officer (CEO and Chairman) | 4 | Private Placement Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,125 300,125 owned after | no price filed | 2021-06-28 | |
| 2021-06-25 | Davila Miguel Angel Director | 4 | Private Placement Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +358,458 358,458 owned after | no price filed | 2021-06-28 | |
| 2021-06-25 | Zesati Humberto Director | 4 | Private Placement Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +361,792 361,792 owned after | no price filed | 2021-06-28 |