Statement of Changes in Beneficial Ownership (4)
September 22 2020 - 4:04PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Nielsen Christopher John |
2. Issuer Name and Ticker or Trading Symbol
Redfin Corp
[
RDFN
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
C/O REDFIN CORPORATION, 1099 STEWART STREET, SUITE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/18/2020 |
(Street)
SEATTLE, WA 98101
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 9/18/2020 | | M(1) | | 63000 | A | $2.25 | 81461 | D | |
Common Stock | 9/18/2020 | | S(1) | | 18461 | D | $46.72 (2) | 63000 | D | |
Common Stock | 9/18/2020 | | S(1) | | 19850 | D | $47.8818 (3) | 43150 | D | |
Common Stock | 9/18/2020 | | S(1) | | 6933 | D | $48.7184 (4) | 36217 | D | |
Common Stock | 9/18/2020 | | S(1) | | 17756 | D | $49.6505 (5) | 18461 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | $2.25 | 9/18/2020 | | M (1) | | | 63000 | (6) | 8/2/2023 | Common Stock | 63000.0 | $0 | 572599 | D | |
Explanation of Responses: |
(1) | The reporting person effected the transaction pursuant to a Rule 10b5-1 trading plan. |
(2) | The reporting person executed the transaction in multiple trades at prices ranging from $46.34 to $47.33. The reported price reflects the weighted average price of all trades. The reporting person will provide to the SEC staff, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares traded at each separate price. |
(3) | The reporting person executed the transaction in multiple trades at prices ranging from $47.35 to $48.34. The reported price reflects the weighted average price of all trades. The reporting person will provide to the SEC staff, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares traded at each separate price. |
(4) | The reporting person executed the transaction in multiple trades at prices ranging from $48.35 to $49.34. The reported price reflects the weighted average price of all trades. The reporting person will provide to the SEC staff, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares traded at each separate price. |
(5) | The reporting person executed the transaction in multiple trades at prices ranging from $49.35 to $49.67. The reported price reflects the weighted average price of all trades. The reporting person will provide to the SEC staff, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares traded at each separate price. |
(6) | The stock option is fully exercisable. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Nielsen Christopher John C/O REDFIN CORPORATION 1099 STEWART STREET, SUITE 600 SEATTLE, WA 98101 |
|
| Chief Financial Officer |
|
Signatures
|
/s/ Charles Lee, attorney-in-fact | | 9/22/2020 |
**Signature of Reporting Person | Date |
Redfin (NASDAQ:RDFN)
Historical Stock Chart
From Mar 2024 to Apr 2024
Redfin (NASDAQ:RDFN)
Historical Stock Chart
From Apr 2023 to Apr 2024