Key facts
- This page summarizes Roy J. Bade's Form 3/A - Amendment filing for CaliberCos Inc. (CWD).
- 0 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 28 Sep 2023, 19:43.
Roy J. Bade - 15 May 2023 Form 3/A - Amendment Insider Report for CaliberCos Inc. (CWD)
- Reporting relationship
- Ch. Development Officer
- Issuer ticker
- CWD
- Reported as of
- 15 May 2023
- Net transaction value
- $0
- SEC form
- 3/A - Amendment
- Accepted by SEC
- 28 Sep 2023, 19:43:32 UTC
- Original report date
- 15 May 2023
- Next SEC filing
- 28 Sep 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Roy J. Bade
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Roy J. Bade filed Form 3/A - Amendment for CaliberCos Inc. (CWD) on 28 Sep 2023.
Change
- No earlier filing in this sequence is available for direct comparison.
- 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
Official SEC source
View source filing
Ownership activity is grounded in SEC Form 3/A - Amendment disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
CWD
holding
Class A Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 70,662
- Date
- 15 May 2023
- Ownership
- See footnote 1.
- Footnotes
- F1
CWD
holding
Class A Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 24,422
- Date
- 15 May 2023
- Ownership
- Direct
- Footnotes
- F2
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
CWD
holding
Derivative
Employee Stock Options (right to buy)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- Date
- 15 May 2023
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 445,888
- Exercise price
- $3.35
- Footnotes
- 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
Class A common stock owned by Wave Investments LLC, an Arizona limited liability company, of which the Reporting Person is the sole manager.
Footnote F2
Restricted stock units ("RSUs") granted December 31, 2021 and April 1, 2022, pursuant to Issuer's Amended and Restated 2017 Stock Incentive Plan (the "Plan"). The RSUs are common stock equivalents and represent a contingent right to receive Class A common stock of Issuer upon vesting.
Footnote F3
Employee stock options (right to buy)("Options") granted December 1, 2017, pursuant to Issuer's Plan. Such Options are fully vested.