Lampert Edward S 的 Form 4 申報
Autonation, Inc.（AN），2022/6/29 申報
- 申報編號
- 0000899243-22-024550
- 申報時間
- 2022/6/29
- 交易日
- 2022/6/27-6/29
- 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 $53.9 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/6/27 | Common Stock, par value $0.01 per share | S賣出處分 | −4,587 | $117.55 | −$539,201.85 | 7,874,558 | 直接 | |
| 2022/6/27 | Common Stock, par value $0.01 per share | J其他處分 | −25,043 | –F2,F3,F4,F5,F6,F7,F8 | – | 7,849,515 | 直接 | |
| 2022/6/28 | Common Stock, par value $0.01 per share | J其他處分 | −24,125 | –F3,F4,F5,F6,F7,F8,F9 | – | 7,825,390 | 直接 | |
| 2022/6/29 | Common Stock, par value $0.01 per share | J其他處分 | −23,864 | –F3,F4,F5,F6,F7,F8,F10 | – | 7,801,526 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/6/27 | Common Stock, par value $0.01 per share | J其他處分 | −21,405 | –F2,F3,F4,F7,F8 | – | 117,609 | 直接 | |
| 2022/6/27 | Common Stock, par value $0.01 per share | J其他處分 | −3,638 | –F2,F5,F6,F7,F8 | – | 19,996 | 直接 | |
| 2022/6/28 | Common Stock, par value $0.01 per share | J其他處分 | −20,620 | –F3,F4,F7,F8,F9 | – | 94,088 | 直接 | |
| 2022/6/28 | Common Stock, par value $0.01 per share | J其他處分 | −3,505 | –F5,F6,F7,F8,F9 | – | 15,998 | 直接 | |
| 2022/6/29 | Common Stock, par value $0.01 per share | J其他處分 | −20,397 | –F3,F4,F7,F8,F10 | – | 70,567 | 直接 | |
| 2022/6/29 | Common Stock, par value $0.01 per share | J其他處分 | −3,467 | –F5,F6,F7,F8,F10 | – | 12,000 | 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。
- F2
The reporting person delivered 21,405 of the December Transaction #1 Pledged Shares (as defined below) to the unaffiliated bank counterparty ("the Bank") in connection with the physical settlement in respect of the 23,521 December Transaction #1 Pledged Shares subject to the June 23, 2022 valuation date and a Settlement Price (as defined below) of $111.5049 pursuant to the terms of December Transaction #1 (as defined below). The reporting person delivered 3,638 of the December Transaction #2 Pledged Shares to the Bank in connection with the physical settlement in respect of the 3,998 December Transaction #2 Pledged Shares (as defined below) subject to the June 23, 2022 valuation date and a Settlement Price of $111.5049 pursuant to the terms of December 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。
- F3
On December 9, 2021, the reporting person entered into a prepaid variable forward sale contract ("December Transaction #1") with the Bank, which obligated the reporting person to deliver to the Bank up to 235,214 Shares (the "December Transaction #1 Pledged Shares") (or, at Mr. Lampert's election, an equivalent amount of cash, as determined pursuant to the December Transaction #1 documentation) on the applicable settlement dates beginning June 21, 2022. In exchange for entering into December Transaction #1 and assuming this obligation, the reporting person received a cash payment of $21,988,873.53 on December 9, 2021.
表 I 有 3 筆、表 II 有 3 筆交易的價格引用這則附註。
- F4
(Continued from Footnote 3) December Transaction #1 was divided into ten individual components designated by valuation date, which are the ten trading days from June 16, 2022 through June 30, 2022, inclusively, of which the number of Shares with respect to each component is 23,521 (or 23,525 with respect to the last valuation date) (each, the "December 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。
- F5
Also on December 9, 2021, the reporting person entered into a separate prepaid variable forward sale contract ("December Transaction #2") with the Bank, which obligated the reporting person to deliver to the Bank up to 39,986 Shares (the "December Transaction #2 Pledged Shares", and together with the December Transaction #1 Pledged Shares, the "Pledged Shares") (or, at Mr. Lampert's election, an equivalent amount of cash, as determined pursuant to the December Transaction #2 documentation) on the applicable settlement dates beginning June 21, 2022. In exchange for entering into December Transaction #2 and assuming this obligation, the reporting person received a cash payment of $3,738,072.98 on December 9, 2021.
表 I 有 3 筆、表 II 有 3 筆交易的價格引用這則附註。
- F6
(Continued from Footnote 5) December Transaction #2 was also divided into ten individual components designated by valuation date, which are also the ten trading days from June 16, 2022 through June 30, 2022, inclusively, of which the number of Shares with respect to each component is 3,998 (or 4,004 with respect to the last valuation date) (each, the "December 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。
- F7
On the settlement date for each component (beginning on June 21, 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 December Transaction #1 documentation or December Transaction #2 documentation, as applicable): (a) if the volume weighted average trading price per Share on the valuation date, as determined pursuant to the December Transaction #1 documentation or December Transaction #2 documentation, as applicable, for the relevant component (the "Settlement Price") is less than $101.4758 (the "Floor Price"), either the December Transaction #1 Component Share Number or the December Transaction #2 Component Share Number, as applicable for the relevant component;
表 I 有 3 筆、表 II 有 6 筆交易的價格引用這則附註。
- F8
(Continued from Footnote 8) (b) if the Settlement Price is between the Floor Price and $221.9782 (the "Cap Price"), either the December Transaction #1 Component Share Number or the December 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 December Transaction #1 Component Share Number or the December 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 20,620 of the December Transaction #1 Pledged Shares to the Bank in connection with the physical settlement in respect of the 23,521 December Transaction #1 Pledged Shares subject to the June 24, 2022 valuation date and a Settlement Price of $115.7544 pursuant to the terms of December Transaction #1. The reporting person delivered 3,505 of the December Transaction #2 Pledged Shares to the Bank in connection with the physical settlement in respect of the 3,998 December Transaction #2 Pledged Shares subject to the June 24, 2022 valuation date and a Settlement Price of $115.7544 pursuant to the terms of December 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 20,397 of the December Transaction #1 Pledged Shares to the Bank in connection with the physical settlement in respect of the 23,521 December Transaction #1 Pledged Shares subject to the June 27, 2022 valuation date and a Settlement Price of $117.0151 pursuant to the terms of December Transaction #1. The reporting person delivered 3,467 of the December Transaction #2 Pledged Shares to the Bank in connection with the physical settlement in respect of the 3,998 December Transaction #2 Pledged Shares subject to the June 27, 2022 valuation date and a Settlement Price of $117.0151 pursuant to the terms of December Transaction #2.
表 I 有 1 筆、表 II 有 2 筆交易的價格引用這則附註。