COHEN & COMPANY, LLC received a stock award from SHIFT TECHNOLOGIES, INC.
Compensation award — not an open‑market transaction. Less informative as a directional signal.
A · 1 award
Filed: 10/14/2020ACC: 0001213900-20-031347
10% Owner
Since Mar 2019
+1.09M
Net shares
Net buyer
$6.00M
Total acquired
0
Open market trades
0B · 0S
5
Total transactions
6.20M acquired · 5.10M disposed
Non-Derivative Transactions3
Class A Common Stock
Indirect
Shares
+600K
Price / share
$10.00
Trade value
$6M
% of position
New position
10/13/2020
0.00→600K
Class A Common Stock
Indirect
Shares
+2.06M
Price / share
—
Trade value
—
% of position
548.4%
10/13/2020
375K→2.43M
Class A Common Stock
Indirect
Shares
+3.54M
Price / share
—
Trade value
—
% of position
New position
10/13/2020
0.00→3.54M
Total
Net shares
+6.20M
Net value
$6M
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock Indirect | 10/13/2020 | A · Award | +600K | $10.00 | $6M | New position | 0.00 | 600K |
| Class A Common Stock Indirect | 10/13/2020 | M · Option Exercise | +2.06M | — | — | 548.4% | 375K | 2.43M |
| Class A Common Stock Indirect | 10/13/2020 | M · Option Exercise | +3.54M | — | — | New position | 0.00 | 3.54M |
| Total | +6.20M | $6M | ||||||
Derivative Transactions2
Class B Common Stock
Indirect
Converts to
Class A Common Stock
2.06M shares
Shares
−1.88M
Strike price
Held after
0.00
Exercisable
—
10/13/2020
Class B Common Stock
Indirect
Converts to
Class A Common Stock
3.54M shares
Shares
−3.23M
Strike price
Held after
0.00
Exercisable
—
10/13/2020
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Class B Common Stock Indirect | Class A Common Stock2.06M shares | 10/13/2020 | M · Option Exercise | −1.88M | — | 0.00 | |
| Class B Common Stock Indirect | Class A Common Stock3.54M shares | 10/13/2020 | M · Option Exercise | −3.23M | — | 0.00 |
Non-Derivative Holdings (Post-Transaction)0
No non-derivative holdings reported
Derivative Holdings (Post-Transaction)1
Warrants
IndirectUnderlying security
Class A Common Stock
Underlying shares
187.50K
Shares owned
187.50K
Exercise price
11.50
Expiration
—
Exercise window
—
Total
Underlying
187.50K
Owned
187.50K
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| Warrants Indirect | Class A Common Stock | 11.50 | — | — | 187.50K | 187.50K |
| Total | 187.50K | 187.50K | ||||