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Welsh, Carson, Anderson & Stowe XII, L.P. 的 Form 4 申報

Clearwater Analytics Holdings, Inc.（CWAN），2023/12/5 申報

申報編號
0000899243-23-020543
申報時間
2023/12/5 16:05 ET
交易日
2023/12/5
申報延遲
當天
10b5-1 計畫
沒有勾選

這份申報列了 4 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $1.89 億。交易當天就申報。

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。

這份申報的申報人
申報人與公司的關係
Welsh, Carson, Anderson & Stowe XII, L.P.CIK 0001626317持股 10% 以上大股東
Welsh, Carson, Anderson & Stowe XII Delaware II, L.P.CIK 0001627643持股 10% 以上大股東
Welsh, Carson, Anderson & Stowe XII Cayman, L.P.CIK 0001627644持股 10% 以上大股東
Welsh, Carson, Anderson & Stowe XII Delaware, L.P.CIK 0001680912持股 10% 以上大股東
Wcas XII Associates Cayman, L.P.CIK 0001848620持股 10% 以上大股東
Wcas XIII Carbon Analytics Acquisition, L.P.CIK 0001879859持股 10% 以上大股東
Wcas XII Carbon Analytics Acquisition, L.P.CIK 0001879860持股 10% 以上大股東
Wcas GP CW LLCCIK 0001879925持股 10% 以上大股東
WCAS XII Carbon Investors, L.P.CIK 0001884563持股 10% 以上大股東
WCAS XIII Carbon Investors, L.P.CIK 0001884565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。

非衍生性證券的交易
交易日證券交易股數價格金額交易後持股持有方式旗標
2023/12/5Class C Common StockC轉換處分−3,058,518–F1,F2–32,684,156間接
2023/12/5Class D Common StockC轉換處分−6,500,157–F1,F2–32,577,359間接
2023/12/5Class A Common StockC轉換取得+9,558,675–F1,F2–9,558,675間接
2023/12/5Class A Common StockS賣出處分−9,558,675$19.75F6−$188,783,831.250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。

衍生性證券的交易
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
2023/12/5Class A or Class D Common StockC轉換處分−3,058,518–F1,F2–32,684,156間接

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

Shares of Class C Common Stock do not represent economic interests in the Issuer. Except as provided in the Issuer's certificate of incorporation or as required by applicable law, holders of Class C Common Stock will be initially entitled to 10 votes per share on all matters to be voted on by the Issuer's stockholders generally. The Reporting Person may exchange all or a portion of such person's common units of CWAN Holdings, LLC ("LLC Interests") (together with the delivery for no consideration of an equal number of shares of Class C Common Stock) for an equal number of newly issued shares of Class D Common Stock or Class A Common Stock from time to time, subject to customary adjustments, or, at the election of the Issuer, a cash payment equal to the 20 day volume weighted average price of shares of Class A Common Stock immediately prior to the applicable exchange date.

表 I 有 3 筆、表 II 有 1 筆交易的價格引用這則附註。

F2

Upon the earlier of (i) the date that affiliates of Welsh Carson own less than 5% of the Issuer's common stock and (ii) the seventh anniversary of the closing of the Issuer's initial public offering, each share of Class D Common Stock will automatically convert into a share of Class A Common Stock and each share of Class C Common Stock will automatically convert into a share of Class B Common Stock of the Issuer, each of which is entitled to one vote per share. Thereafter, an exchange of the Reporting Person's LLC Interests will be for Class A Common Stock and the surrender for no consideration of non-economic voting stock in connection with such exchange will be with respect to Class B Common Stock held by the Reporting Person.

表 I 有 3 筆、表 II 有 1 筆交易的價格引用這則附註。

F6

This amount represents a price to the underwriter of $19.75 per share of Class A Common Stock. The underwriter may offer the shares of Class A Common Stock from time to time in one or more transactions on the NYSE, in the over-the-counter market or through negotiated transactions at market prices or at negotiated prices.

表 I 有 1 筆交易的價格引用這則附註。

備註

Form 1 of 2

看 SEC EDGAR 上的完整原文 （在新分頁開啟）