Blackstone Tactical Opportunities Fund - N - NQ L.P. 的 Form 4 申報
Finance of America Companies Inc.（FOA），2023/4/4 申報
- 申報編號
- 0000899243-23-010448
- 申報時間
- 2023/4/4 17:31 ET
- 交易日
- 2023/3/31-4/3
- 申報延遲
- 4 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 8 筆非衍生性交易、2 筆衍生性交易。公開市場買進合計 $1,500 萬。交易後 4 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 |
|---|---|
| Blackstone Tactical Opportunities Fund - N - NQ L.P.CIK 0001853349 | 持股 10% 以上大股東 |
| Blackstone Tactical Opportunities Fund - O - NQ L.P.CIK 0001853350 | 持股 10% 以上大股東 |
| Blackstone Tactical Opportunities Fund - L - NQ L.P.CIK 0001853352 | 持股 10% 以上大股東 |
| Blackstone Tactical Opportunities Fund - C - NQ L.P.CIK 0001853353 | 持股 10% 以上大股東 |
| Blackstone Tactical Opportunities Fund - S - NQ L.P.CIK 0001853354 | 持股 10% 以上大股東 |
| Blackstone Tactical Opportunities Fund - I - NQ L.P.CIK 0001853356 | 持股 10% 以上大股東 |
| Blackstone Tactical Opportunities Fund - A (RA) - NQ L.P.CIK 0001853357 | 持股 10% 以上大股東 |
| Blackstone Tactical Opportunities Fund II - NQ L.P.CIK 0001853358 | 持股 10% 以上大股東 |
| Blackstone Tactical Opportunities Fund - NQ L.P.CIK 0001853360 | 持股 10% 以上大股東 |
| BTO Urban Holdings L.L.C.CIK 0001854686 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/3/31 | Class A Common Stock | P買進取得 | +7,717,103 | $1.38 | +$10,649,602.14 | 7,717,103 | 間接 | 重複申報 |
| 2023/3/31 | Class A Common Stock | P買進取得 | +3,109,235 | $1.38 | +$4,290,744.3 | 24,727,216 | 間接 | 重複申報 |
| 2023/3/31 | Class A Common Stock | P買進取得 | +43,228 | $1.38 | +$59,654.64 | 43,228 | 間接 | 重複申報 |
| 2023/4/3 | Class A Common Stock | C轉換取得 | +777,935 | –F2 | – | 8,495,038 | 間接 | 重複申報 |
| 2023/4/3 | Class A Common Stock | J其他處分 | −777,935 | $0.00F3 | $0 | 7,717,103 | 間接 | 重複申報 |
| 2023/4/3 | Class A Common Stock | C轉換取得 | +4,466 | –F2 | – | 47,694 | 間接 | 重複申報 |
| 2023/4/3 | Class A Common Stock | J其他處分 | −4,466 | $0.00F3 | $0 | 43,228 | 間接 | 重複申報 |
| 2023/4/3 | Class A Common Stock | J其他處分 | −340,506 | $0.00F3 | $0 | 24,386,710 | 間接 | 重複申報 |
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 |
|---|---|---|---|---|---|---|---|---|
| 2023/4/3 | Class A Common Stock | C轉換處分 | −777,935 | $0.00 | $0 | 48,611,415 | 間接 | 重複申報 |
| 2023/4/3 | Class A Common Stock | C轉換處分 | −4,466 | $0.00 | $0 | 279,055 | 間接 | 重複申報 |
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
Pursuant to the terms of an exchange agreement, dated as of April 1, 2021, limited liability company units of Finance of America Equity Capital LLC ("FOA Units") held by the Reporting Persons are exchangeable for shares of the Issuer's Class A Common Stock on a one-for-one basis. These exchange rights do not expire.
表 I 有 2 筆交易的價格引用這則附註。
- F3
Pursuant to the LTIP Award Settlement Agreement (the "LTIP Award Settlement Agreement"), dated as of October 12, 2020, by and among the Issuer, the Reporting Persons or certain of their affiliates and certain other equityholders of the Issuer and Finance of America Equity Capital LLC, such equityholders are obligated to deliver a number of shares of Class A Common Stock to the Issuer in connection with the settlement of awards of restricted stock units granted by the Issuer. On April 3, 2023, in connection with the Issuer's settlement of restricted stock units into shares of Class A Common Stock, certain Reporting Persons delivered certain shares of Class A Common Stock to the Issuer pursuant to the LTIP Award Settlement Agreement.
表 I 有 3 筆交易的價格引用這則附註。