Lampert Edward S 的 Form 4 申報
Autonation, Inc.（AN），2022/5/11 申報
- 申報編號
- 0000899243-22-017713
- 申報時間
- 2022/5/11
- 交易日
- 2022/5/9-5/11
- 申報延遲
- 2 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 4 筆非衍生性交易、6 筆衍生性交易。公開市場賣出合計 $15.6 萬。交易後 2 天申報。
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 |
|---|---|
| Lampert Edward SCIK 0001183200 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/5/9 | Common Stock, par value $0.01 per share | J其他處分 | −53,075 | –F1,F2,F3,F4,F5,F6,F7 | – | 8,851,453 | 直接 | |
| 2022/5/10 | Common Stock, par value $0.01 per share | J其他處分 | −52,646 | –F2,F3,F4,F5,F6,F7,F9 | – | 8,798,807 | 直接 | |
| 2022/5/11 | Common Stock, par value $0.01 per share | J其他處分 | −53,288 | –F2,F3,F4,F5,F6,F7,F10 | – | 8,745,519 | 直接 | |
| 2022/5/11 | Common Stock, par value $0.01 per share | S賣出處分 | −1,290 | $120.56 | −$155,522.4 | 8,744,229 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/5/9 | Common Stock, par value $0.01 per share | J其他處分 | −45,379 | –F1,F2,F3,F6,F7 | – | 315,792 | 直接 | |
| 2022/5/9 | Common Stock, par value $0.01 per share | J其他處分 | −7,696 | –F1,F4,F5,F6,F7 | – | 53,556 | 直接 | |
| 2022/5/10 | Common Stock, par value $0.01 per share | J其他處分 | −45,012 | –F2,F3,F6,F7,F9 | – | 263,160 | 直接 | |
| 2022/5/10 | Common Stock, par value $0.01 per share | J其他處分 | −7,634 | –F4,F5,F6,F7,F9 | – | 44,630 | 直接 | |
| 2022/5/11 | Common Stock, par value $0.01 per share | J其他處分 | −45,561 | –F2,F3,F6,F7,F10 | – | 210,528 | 直接 | |
| 2022/5/11 | Common Stock, par value $0.01 per share | J其他處分 | −7,727 | –F4,F5,F6,F7,F10 | – | 35,704 | 直接 |
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
The reporting person delivered 45,379 of the Transaction #1 Pledged Shares (as defined below) to the unaffiliated bank counterparty (the "Bank") in connection with the physical settlement in respect of the 52,632 Transaction #1 Pledged Shares subject to the May 5, 2022 valuation date and a Settlement Price (as defined below) of $122.6363 pursuant to the terms of Transaction #1 (as defined below). The reporting person delivered 7,696 of the Transaction #2 Pledged Shares (as defined below) to the Bank in connection with the physical settlement in respect of the 8,926 Transaction #2 Pledged Shares subject to the May 5, 2022 valuation date and a Settlement Price of $122.6363 pursuant to the terms of Transaction #2 (as defined below).
表 I 有 1 筆、表 II 有 2 筆交易的價格引用這則附註。
- F2
On October 25, 2021, the reporting person entered into a prepaid variable forward sale contract ("Transaction #1") with the Bank, which obligated the reporting person to deliver to the Bank up to 526,320 shares of common stock of AutoNation, Inc. (the "Issuer"), par value $0.01 per share ("Shares") (the "Transaction #1 Pledged Shares") (or, at the reporting person's election, an equivalent amount of cash, as determined pursuant to the Transaction #1 documentation), on the applicable settlement dates beginning May 4, 2022. In exchange for entering into Transaction #1 and assuming this obligation, the reporting person received a cash payment of $51,268,069.61 on October 25, 2021.
表 I 有 3 筆、表 II 有 3 筆交易的價格引用這則附註。
- F3
(Continued from footnote 2) Transaction #1 was divided into ten individual components designated by valuation date, which are the ten trading days from May 2, 2022 through May 13, 2022, inclusively, of which the number of Shares with respect to each component is 52,632 (each, the "Transaction #1 Component Share Number" for the relevant component).
表 I 有 3 筆、表 II 有 3 筆交易的價格引用這則附註。
- F4
Also on October 25, 2021, the reporting person entered into a separate prepaid variable forward sale contract ("Transaction #2") with the Bank, which obligated the reporting person to deliver to the Bank up to 89,260 Shares (the "Transaction #2 Pledged Shares", and together with the Transaction #1 Pledged Shares, the "Pledged Shares") (or, at the reporting person's election, an equivalent amount of cash, as determined pursuant to the Transaction #2 documentation) on the applicable settlement dates beginning May 4, 2022. In exchange for entering into Transaction #2 and assuming this obligation, the reporting person received a cash payment of $8,694,687.44 on October 25, 2021.
表 I 有 3 筆、表 II 有 3 筆交易的價格引用這則附註。
- F5
(Continued from footnote 4) Transaction #2 was also divided into ten individual components designated by valuation date, which are also the ten trading days from May 2, 2022 through May 13, 2022, inclusively, of which the number of Shares with respect to each component is 8,926 (each, the "Transaction #2 Component Share Number" for the relevant component).
表 I 有 3 筆、表 II 有 3 筆交易的價格引用這則附註。
- F6
On the settlement date for each component (beginning on May 4, 2022), the reporting person was obligated to deliver to the Bank a number of Shares determined as follows (or, at the reporting person's election, the reporting person may pay an equivalent amount in cash on the applicable settlement date, as determined pursuant to the Transaction #1 documentation or Transaction #2 documentation, as applicable): (a) if the volume weighted average trading price per Share on the valuation date, as determined pursuant to the Transaction #1 documentation or Transaction #2 documentation, as applicable, for the relevant component (the "Settlement Price") is less than $105.7352 (the "Floor Price"), either the Transaction #1 Component Share Number or the Transaction #2 Component Share Number, as applicable for the relevant component; (b) if the Settlement Price is between the Floor Price and $231.2958 (the "Cap Price"),
表 I 有 3 筆、表 II 有 6 筆交易的價格引用這則附註。
- F7
(Continued from footnote 6) either the Transaction #1 Component Share Number or the Transaction #2 Component Share Number, as applicable for the relevant component, multiplied by the Floor Price divided by the Settlement Price; and (c) if the Settlement Price is greater than the Cap Price, either the Transaction #1 Component Share Number or the Transaction #2 Component Share Number, as applicable for the relevant component, multiplied by (1 - ((Cap Price - Floor Price), divided by the Settlement Price)). The reporting person retains all voting rights and dispositive power over all of the Pledged Shares during the term of the applicable pledge, subject to the Bank's exercise of default remedies.
表 I 有 3 筆、表 II 有 6 筆交易的價格引用這則附註。
- F9
The reporting person delivered 45,012 of the Transaction #1 Pledged Shares to the Bank in connection with the physical settlement in respect of the 52,632 Transaction #1 Pledged Shares subject to the May 6, 2022 valuation date and a Settlement Price of $123.6357 pursuant to the terms of Transaction #1. The reporting person delivered 7,634 of the Transaction #2 Pledged Shares to the Bank in connection with the physical settlement in respect of the 8,926 Transaction #2 Pledged Shares subject to the May 6, 2022 valuation date and a Settlement Price of $123.6357 pursuant to the terms of Transaction #2.
表 I 有 1 筆、表 II 有 2 筆交易的價格引用這則附註。
- F10
The reporting person delivered 45,561 of the Transaction #1 Pledged Shares to the Bank in connection with the physical settlement in respect of the 52,632 Transaction #1 Pledged Shares subject to the May 9, 2022 valuation date and a Settlement Price of $122.145 pursuant to the terms of Transaction #1. The reporting person delivered 7,727 of the Transaction #2 Pledged Shares to the Bank in connection with the physical settlement in respect of the 8,926 Transaction #2 Pledged Shares subject to the May 9, 2022 valuation date and a Settlement Price of $122.145 pursuant to the terms of Transaction #2.
表 I 有 1 筆、表 II 有 2 筆交易的價格引用這則附註。