Astle Christopher 的 Form 4/A 修正申報
修正Zymeworks Inc.ZYME，2022/12/23 申報
- 申報編號
- 0000899243-22-039332
- 申報時間
- 2022/12/23
- 交易日
- 2022/12/12
- 申報延遲
- 11 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2022/12/14
這份申報列了 2 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $5,330.87。交易後 11 天申報。
這份修正申報取代了 0000899243-22-038516（2022/12/14 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 |
|---|---|
| Astle ChristopherCIK 0001915257 | 高階主管（資深副總裁、財務長） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2022/12/12 | Common Stock | M行使選擇權取得 | +1,550 | $0.00 | $0 | 2,220 | 直接 | |
| 2022/12/12 | Common Stock | S賣出處分 | −887 | $6.01F3 | −$5,330.87 | 1,333 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/12/12 | Common Shares | M行使選擇權處分 | −1,550 | $0.00 | $0 | 1,550 | 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
Represents shares of common stock issued upon vesting of one half of the restricted stock units ("RSUs") granted on December 10, 2021.
- F2
Represents shares of common stock sold to cover tax withholding obligations and other applicable fees in connection with the vesting of RSUs. Pursuant to the terms of the applicable RSU grant agreement (the "Grant Agreement"), effective on the grant date of the RSUs, the Reporting Person adopted a 10b5-1 plan pursuant to which the Reporting Person elected to sell shares to cover tax withholding obligations and other applicable fees in accordance with the terms of the Grant Agreement.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.99 to $6.035, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
表 I 有 1 筆交易的價格引用這則附註。
- F4
Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.
- F5
The RSUs were granted on December 10, 2021 and vest in two equal annual instalments beginning on December 12, 2022.
備註
This Amendment is being filed soley to include Exhibit 24 - Power of Attorney, which was inadvertently omitted in the Form 4 filed December 14, 2022. Exhibit List - Exhibit 24 - Power of Attorney. On October 13, 2022, the Issuer (formerly Zymeworks Delaware Inc., a Delaware corporation) became the successor issuer of Zymeworks BC Inc. (formerly Zymeworks Inc., a corporation continued under the Business Corporations Act (British Columbia)) pursuant to Rule 12g-3 of the Securities Exchange Act of 1934, as amended. On such date the Issuer completed a series of transactions, including a redomicile, pursuant to a statutory plan of arrangement under Section 288 of the Business Corporations Act (British Columbia), as a result of which common shares of Zymeworks BC Inc. were exchanged for either shares of common stock of the Issuer or exchangeable shares issued by Zymeworks ExchangeCo Ltd., an indirect subsidiary of the Issuer.