Gerstein Beth Tamara 4
4 · Brilliant Earth Group, Inc. · Filed Jan 14, 2022
Insider Transaction Report
Form 4
Gerstein Beth Tamara
DirectorChief Executive Officer10% Owner
Transactions
- Conversion
Class A Common Stock
2022-01-12+77,484→ 77,484 total(indirect: See Footnote) - Sale
Class A Common Stock
2022-01-12$16.68/sh−1,406$23,452→ 0 total(indirect: See Footnote) - Sale
Class A Common Stock
2022-01-13$14.34/sh−75,003$1,075,543→ 16,199 total(indirect: See Footnote) - Sale
Class A Common Stock
2022-01-13$14.82/sh−16,199$240,069→ 0 total(indirect: See Footnote) - Sale
Class A Common Stock
2022-01-14$12.33/sh−136,034$1,677,299→ 15,897 total(indirect: See Footnote) - Other
Class C Common Stock
2022-01-14−151,931→ 49,184,633 total(indirect: See Footnote) - Conversion
Class D Common Stock
2022-01-12+77,484→ 77,484 total(indirect: See Footnote)Exercise: $0.00→ Class A Common Stock (77,484 underlying) - Conversion
Common Units
2022-01-14−151,931→ 49,184,633 total(indirect: See Footnote)Exercise: $0.00→ Class D Common Stock (151,931 underlying) - Other
Class C Common Stock
2022-01-12−77,484→ 49,427,766 total(indirect: See Footnote) - Conversion
Class A Common Stock
2022-01-13+91,202→ 91,202 total(indirect: See Footnote) - Other
Class C Common Stock
2022-01-13−91,202→ 49,336,564 total(indirect: See Footnote) - Conversion
Class A Common Stock
2022-01-14+151,931→ 151,931 total(indirect: See Footnote) - Sale
Class A Common Stock
2022-01-14$13.24/sh−15,897$210,476→ 0 total(indirect: See Footnote) - Conversion
Common Units
2022-01-12−77,484→ 49,427,766 total(indirect: See Footnote)Exercise: $0.00→ Class D Common Stock (77,484 underlying) - Conversion
Common Units
2022-01-13−91,202→ 49,336,564 total(indirect: See Footnote)Exercise: $0.00→ Class D Common Stock (91,202 underlying) - Conversion
Class D Common Stock
2022-01-12+151,931→ 151,931 total(indirect: See Footnote)Exercise: $0.00→ Class A Common Stock (151,931 underlying) - Sale
Class A Common Stock
2022-01-12$14.92/sh−43,283$645,782→ 34,201 total(indirect: See Footnote) - Sale
Class A Common Stock
2022-01-12$15.86/sh−32,795$520,129→ 1,406 total(indirect: See Footnote) - Conversion
Class D Common Stock
2022-01-12−77,484→ 0 total(indirect: See Footnote)Exercise: $0.00→ Class A Common Stock (77,484 underlying) - Conversion
Class D Common Stock
2022-01-13+91,202→ 91,202 total(indirect: See Footnote)Exercise: $0.00→ Class A Common Stock (91,202 underlying) - Conversion
Class D Common Stock
2022-01-13−91,202→ 0 total(indirect: See Footnote)Exercise: $0.00→ Class A Common Stock (91,202 underlying) - Conversion
Class D Common Stock
2022-01-14−151,931→ 0 total(indirect: See Footnote)Exercise: $0.00→ Class A Common Stock (151,931 underlying)
Footnotes (12)
- [F1]Held by Just Rocks, Inc. The Reporting Person owns her shares of Just Rocks, Inc. through The Beth T. Gerstein 2021 Annuity Trust, The Alexander M. Sutton 2021 Annuity Trust and The Sutton-Gerstein Family Trust. Ms. Gerstein is the Trustee of the foregoing trusts and has voting power and investment power over the shares owned through such trusts.
- [F10]This transaction was executed in multiple trades ranging from $13.01 to $13.73. The price reported above reflects the weighted average sale 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.
- [F11]The Common Units may be redeemed by the Reporting Person at any time for shares of Class D Common Stock on a 1-to-1 basis, and a corresponding number of shares of Class C Common Stock will be forfeited in connection with the redemption. The Common Units have no expiration date.
- [F12]The Class D Common Stock is convertible at any time at the option of the holder into the Issuer's Class A Common Stock on a one-to-one basis.
- [F2]The transactions reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by Just Rocks, Inc. on December 3, 2021.
- [F3]This transaction was executed in multiple trades ranging from $14.57 to $15.56. The price reported above reflects the weighted average sale 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.
- [F4]This transaction was executed in multiple trades ranging from $15.57 to $16.44. The price reported above reflects the weighted average sale 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.
- [F5]This transaction was executed in multiple trades ranging from $16.575 to $16.71. The price reported above reflects the weighted average sale 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.
- [F6]Reflects the cancellation for no consideration of Class C Common Stock in connection with the redemption of Common Units for Class D Common Stock.
- [F7]This transaction was executed in multiple trades ranging from $13.745 to $14.745. The price reported above reflects the weighted average sale 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.
- [F8]This transaction was executed in multiple trades ranging from $14.75 to $14.99. The price reported above reflects the weighted average sale 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.
- [F9]This transaction was executed in multiple trades ranging from $12.00 to $13.00. The price reported above reflects the weighted average sale 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.