Cohen Richard B 的 Form 4 申報
Symbotic Inc.（SYM），2023/7/27 申報
- 申報編號
- 0000899243-23-017568
- 申報時間
- 2023/7/27 20:35 ET
- 交易日
- 2023/7/24-7/25
- 申報延遲
- 3 天遲報
- 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。公開市場賣出合計 $5.00 億。交易後 3 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 |
|---|---|
| Cohen Richard BCIK 0001933447 | 董事、高階主管（見申報備註）、持股 10% 以上大股東 |
| RJJRP Holdings, Inc.CIK 0001932962 | 持股 10% 以上大股東 |
| RBC 2021 4 Year GRATCIK 0001932966 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/7/24 | Class V-1 Common Stock | J其他處分 | −2,058,420 | –F1,F2,F3 | – | 0 | 間接 | |
| 2023/7/24 | Class V-3 Common Stock | J其他處分 | −1,506,642 | –F1,F2,F3 | – | 3,464,582 | 間接 | |
| 2023/7/24 | Class A Common Stock | J其他取得 | +3,565,062 | –F1,F2,F3 | – | 3,565,062 | 間接 | |
| 2023/7/25 | Class A Common Stock | S賣出處分 | −3,565,062 | $28.05 | −$99,999,989.1 | 0 | 間接 | |
| 2023/7/24 | Class V-1 Common Stock | J其他處分 | −6,362,808 | –F2,F3,F6 | – | 545,835 | 間接 | |
| 2023/7/24 | Class V-3 Common Stock | J其他處分 | −7,897,442 | –F2,F3,F6 | – | 167,505,271 | 間接 | |
| 2023/7/24 | Class A Common Stock | J其他取得 | +14,260,250 | –F2,F3,F6 | – | 14,260,250 | 間接 | |
| 2023/7/25 | Class A Common Stock | S賣出處分 | −14,260,250 | $28.05 | −$400,000,012.5 | 0 | 間接 |
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。
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 July 25, 2023, the Richard B. Cohen Revocable Trust sold 3,565,062 shares of Class A Common Stock (the "Stock Sale") for an aggregate purchase price of $100,000,000. In anticipation of the Stock Sale, on July 24, 2023, the Richard B. Cohen Revocable Trust redeemed 3,565,062 Symbotic Holdings Units in exchange for an equal number of shares of Class A Common Stock (the "Redemption"). In connection with the Redemption, the Symbotic Holdings LLC ("Symbotic Holdings") cancelled the Symbotic Holdings Units and the Issuer cancelled and retired for no consideration the redeemed 2,058,420 shares of Class V-1 Common Stock and 1,506,642 shares of Class V-3 Common Stock.
表 I 有 3 筆交易的價格引用這則附註。
- F2
The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock or Class V-3 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock or Class V-3 Common Stock, as applicable.
表 I 有 6 筆、表 II 有 2 筆交易的價格引用這則附註。
- F3
(Continued from Footnote 2) Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share. Shares of Class V-3 Common Stock of the Issuer have no economic rights and each share of Class V-3 Common Stock entitles its holder to 3 votes per share.
表 I 有 6 筆、表 II 有 2 筆交易的價格引用這則附註。
- F6
On July 25, 2023, The RBC Millennium Trust sold 14,260,250 shares of Class A Common Stock (the "Spousal Stock Sale") for an aggregate purchase price of $400,000,000. In anticipation of the Spousal Stock Sale, on July 24, 2023, The RBC Millennium Trust redeemed 14,260,250 Symbotic Holdings Units in exchange for an equal number of shares of Class A Common Stock (the "Spousal Redemption"). In connection with the Spousal Redemption, Symbotic Holdings cancelled the Symbotic Holdings Units the Issuer and cancelled and retired for no consideration the redeemed 6,362,808 shares of Class V-1 Common Stock and 7,897,442 shares of Class V-3 Common Stock.
表 I 有 3 筆交易的價格引用這則附註。
備註
Board Chair, President and Chief Executive Officer