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Signature
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/s/ Sara Ponessa, as Attorney-in-Fact
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Issuer symbol
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N/A
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Transactions as of
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15 Nov 2023
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Net transactions value
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-$33,466
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Form type
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4
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Filing time
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16 Nov 2023, 16:11:22 UTC
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
LTHM |
Common Stock |
Options Exercise |
$90,245 |
+8,603 |
+12% |
$10.49 |
79,000 |
15 Nov 2023 |
Direct |
|
| transaction |
LTHM |
Common Stock |
Sale |
$123,711 |
-8,603 |
-11% |
$14.38 |
70,397 |
15 Nov 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 |
+8,603 |
|
$0.000000* |
0 |
15 Nov 2023 |
Common Stock |
8,603 |
$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: