Steven R. Mitchell - Sep 27, 2021 Form 4/A Insider Report for StepStone Group Inc. (STEP)

Signature
/s/ Jennifer Ishiguro, Attorney-in-fact for Steven R. Mitchell
Stock symbol
STEP
Transactions as of
Sep 27, 2021
Transactions value $
-$1,527,082
Form type
4/A
Date filed
6/12/2024, 07:53 PM
Date Of Original Report
Sep 29, 2021
Previous filing
Jul 29, 2021
Next filing
Oct 7, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction STEP Class A Common Stock Sale -$415K -9.29K -14.86% $44.70 53.2K Sep 27, 2021 Direct F1
transaction STEP Class A Common Stock Sale -$769K -17.8K -33.54% $43.11 35.4K Sep 28, 2021 Direct F2
transaction STEP Class A Common Stock Sale -$343K -7.87K -22.24% $43.55 27.5K Sep 29, 2021 Direct F3
* 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:

Id Content
F1 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $43.84 to $45.12. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.
F2 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $42.59 to $44.46. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.
F3 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $43.12 to $43.97. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Remarks:

This amendment is filed to remove references to (a) Class B Common Stock held by ARGO Holdings, LLC and (b) the reporting person being part of a "group" with ARG Private Equity, LLC, ARO Holdings, LLC, Sanford Energy, Inc., George Kaiser, and Robert A Waldo., each of which were included in the original filing in error.