Lambert Anne Barber 的 Form 4 申報
Meta Materials Inc.（MMAT），2021/12/9 申報
- 申報編號
- 0000899243-21-047473
- 申報時間
- 2021/12/9 07:14 ET
- 交易日
- 2021/11/15-11/30
- 申報延遲
- 24 天遲報
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 12 筆非衍生性交易、6 筆衍生性交易。公開市場賣出合計 $184.1 萬。交易後 24 天才申報，超過 2 個營業日的期限。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Lambert Anne BarberCIK 0001886866 | 持股 10% 以上大股東 |
| Welch Thomas GordonCIK 0001887942 | 持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/17 | Common Stock | M行使選擇權取得 | +600,000 | $4.58F1 | +$2,748,000 | 615,000 | 直接 | |
| 2021/11/18 | Common Stock | S賣出處分 | −30,000 | $4.30 | −$129,000 | 585,000 | 直接 | |
| 2021/11/19 | Common Stock | M行使選擇權取得 | +500,000 | $4.31F2 | +$2,155,000 | 500,000 | 間接 | |
| 2021/11/19 | Common Stock | S賣出處分 | −80,000 | $4.37 | −$349,600 | 505,000 | 直接 | |
| 2021/11/22 | Common Stock | S賣出處分 | −8,000 | $4.20 | −$33,600 | 497,000 | 直接 | |
| 2021/11/22 | Common Stock | S賣出處分 | −9,000 | $4.20 | −$37,800 | 491,000 | 間接 | |
| 2021/11/24 | Common Stock | S賣出處分 | −130,000 | $4.10F5 | −$532,350 | 367,000 | 直接 | |
| 2021/11/24 | Common Stock | S賣出處分 | −125,000 | $4.10F6 | −$512,500 | 366,000 | 間接 | |
| 2021/11/29 | Common Stock | S賣出處分 | −19,000 | $4.02 | −$76,380 | 348,000 | 直接 | |
| 2021/11/29 | Common Stock | S賣出處分 | −23,000 | $4.03F7 | −$92,782 | 343,000 | 間接 | |
| 2021/11/30 | Common Stock | S賣出處分 | −7,000 | $3.54 | −$24,780 | 341,000 | 直接 | |
| 2021/11/29 | Series A Non-Voting Preferred Stock | S賣出處分 | −30,000 | $1.75 | −$52,500 | 0 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/15 | Common Stock | G贈與處分 | −200,000 | –F3 | – | 23,314,309 | 直接 | |
| 2021/11/15 | Common Stock | G贈與取得 | +200,000 | –F3 | – | 23,314,309 | 間接 | |
| 2021/11/17 | Common Stock | M行使選擇權處分 | −600,000 | –F1 | – | 22,714,309 | 直接 | |
| 2021/11/19 | Common Stock | M行使選擇權處分 | −500,000 | –F2 | – | 22,941,239 | 間接 | |
| 2021/11/24 | Common Stock | G贈與處分 | −200,000 | –F3 | – | 22,441,239 | 間接 | |
| 2021/11/24 | Common Stock | G贈與取得 | +200,000 | –F3 | – | 22,441,239 | 間接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
On November 17, 2021, the reporting person exchanged 600,000 Exchangeable Shares into 600,000 shares of common stock at an exchange price of $4.58, the market price of the common stock on the business day preceding the exchange.
表 I 有 1 筆、表 II 有 1 筆交易的價格引用這則附註。
- F2
On November 19, 2021, the reporting person's spouse exchanged 500,000 Exchangeable Shares into 500,000 shares of common stock at an exchange price of $4.31, the market price of the common stock on the business day preceding the exchange.
表 I 有 1 筆、表 II 有 1 筆交易的價格引用這則附註。
- F3
Each Exchangeable Share, an exchangeable share of Metamaterial Exchangeco Inc., an Ontario corporation, is the economic equivalent of one share of MMAT common stock. Each Exchangeable Share holds a voting interest in Meta Materials Inc. equivalent to a share of common stock of Meta Materials Inc. and will be settled in shares of MMAT common stock upon certain events or at the election of the holder.
表 II 有 4 筆交易的價格引用這則附註。
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.01 to $4.19, inclusive. The reporting person undertakes to provide to Meta Materials Inc., any security holder of Meta Materials Inc., or the staff of the Securities and Exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (5), (6) and (7) to this Form 4.
表 I 有 1 筆交易的價格引用這則附註。
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.90 to $4.26, inclusive.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.03 to $4.04, inclusive.
表 I 有 1 筆交易的價格引用這則附註。