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Signature
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/s/ Sara Ponessa, as Attorney-in-Fact
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Stock symbol
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LTHM
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Transactions as of
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Nov 15, 2023
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Transactions value $
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-$33,466
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Form type
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4
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Date filed
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11/16/2023, 04:11 PM
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
LTHM |
Common Stock |
Options Exercise |
$90.2K |
+8.6K |
+12.22% |
$10.49 |
79K |
Nov 15, 2023 |
Direct |
|
| transaction |
LTHM |
Common Stock |
Sale |
-$124K |
-8.6K |
-10.89% |
$14.38 |
70.4K |
Nov 15, 2023 |
Direct |
F1 |
Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Underlying Class |
Amount |
Exercise Price |
Ownership |
Footnotes |
| transaction |
LTHM |
Stock Option (Right to Buy) |
Options Exercise |
$0 |
+8.6K |
|
$0.00* |
0 |
Nov 15, 2023 |
Common Stock |
8.6K |
$10.49 |
Direct |
|
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
Explanation of Responses: