Key facts
- This page summarizes Rene A. Rodriguez's Form 4 filing for Appgate, Inc..
- 1 reported transaction and 1 derivative row are listed below.
- Accepted by SEC: 08 Aug 2022, 16:01.
Rene A. Rodriguez - 08 Aug 2022 Form 4 Insider Report for Appgate, Inc.
- Reporting relationship
- Chief Financial Officer
- Issuer ticker
- N/A
- Reported as of
- 08 Aug 2022
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 08 Aug 2022, 16:01:17 UTC
- Prior SEC filing
- 03 Jan 2022
- Source filing
- View source filing
- Reporting owner signature
- /s/ Jeremy M. Dale, Attorney-in-Fact
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Rene A. Rodriguez filed Form 4 for Appgate, Inc. on 08 Aug 2022.
Change
- Previous filing in this sequence was filed on 03 Jan 2022.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
APGT
transaction
Derivative
Restricted Stock Units
Award
- Transaction value
- $0
- Shares
- +395,382
- Change %
- Price
- $0.000000
- Shares after
- 395,382
- Date
- 08 Aug 2022
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 395,382
- Exercise price
- Footnotes
- F1, F2, F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 3 footnotes
Footnote F1
Each restricted stock unit represents a contingent right to receive one share of Appgate, Inc. common stock.
Footnote F2
The restricted stock units vest as follows: 25% on January 1, 2023 and 6.25% on the first day of each calendar quarter starting on April 1, 2023.
Footnote F3
In each case, vesting will not be effective until the earliest to occur of (a) the listing of Appgate's common stock on either the NASDAQ or NYSE and (b) a Change in Control as defined in the Appgate, Inc. 2021 Incentive Compensation Plan (the "Vesting Event"). In the event the Vesting Event does not occur within three (3) years of August 8, 2022, the restricted stock units shall be forfeited immediately following such three (3) year period. Subject to the immediately preceding sentence, any restricted stock units that would have otherwise vested prior to the Vesting Event, but did not vest because the Vesting Event had not occurred as of such time, shall immediately be vested on the date of the Vesting Event (and the date of such Vesting Event shall be deemed the vesting date for such restricted stock units) regardless of whether Mr. Rodriguez was in continuous service with Appgate as of the date of the Vesting Event.