Schuler Education Foundation 的 Form 4 申報

Biolase, Inc（BIOL），2023/5/26 申報

申報編號: 0000908834-23-000047
申報時間: 2023/5/26 13:13 ET
交易日: 2020/2/11-12/18
申報延遲: 1,200 天遲報
10b5-1 計畫: 沒有勾選

SEC EDGAR 原文（在新分頁開啟）

這份申報列了 12 筆非衍生性交易、3 筆衍生性交易。公開市場買進合計 $79.8 萬。公開市場賣出合計 $413.7 萬。交易後 1200 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。

這份申報的申報人
申報人	與公司的關係
Schuler Education FoundationCIK 0001512977	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
2020/2/11	Common Stock	P買進取得	+1,307,931	$0.61	+$797,837.91	10,936,444	直接
2020/6/8	Common Stock	S賣出處分	−1,847,649	$0.55^F2	−$1,016,206.95	9,088,795	直接
2020/6/9	Common Stock	S賣出處分	−2,137,559	$0.54^F3	−$1,154,281.86	6,951,236	直接
2020/6/10	Common Stock	S賣出處分	−1,733,836	$0.55^F4	−$953,609.8	5,217,400	直接
2020/7/28	Common Stock	C轉換取得	+3,745,000	$0.40	+$1,498,000	8,962,400	直接
2020/11/24	Common Stock	S賣出處分	−71,100	$0.30	−$21,330	8,891,300	直接
2020/11/25	Common Stock	S賣出處分	−203,057	$0.29	−$58,886.53	8,688,243	直接
2020/11/30	Common Stock	S賣出處分	−1,115,000	$0.30	−$334,500	7,573,243	直接
2020/12/4	Common Stock	S賣出處分	−1,200,000	$0.30	−$360,000	6,373,243	直接
2020/12/16	Common Stock	S賣出處分	−90,575	$0.28	−$25,361	6,282,668	直接
2020/12/17	Common Stock	S賣出處分	−572,671	$0.28	−$160,347.88	5,709,997	直接
2020/12/18	Common Stock	S賣出處分	−187,774	$0.28	−$52,576.72	5,522,223	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。

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
2020/7/22	Common Stock	A公司授予取得	+3,745,000	–^F5	–	1,498	直接
2020/7/22	Common Stock	A公司授予取得	+3,745,000	–^F5	–	3,745,000	直接
2020/7/28	Common Stock	C轉換處分	−3,745,000	–^F7	–	0	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。

The sale price reported is a weighted average price. These shares of Common Stock were sold in multiple transactions at prices ranging from $0.5399 and $0.5643, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (3) and (4) to this Form 4.

表 I 有 1 筆交易的價格引用這則附註。

The sale price reported is a weighted average price. These shares of Common Stock were sold in multiple transactions at prices ranging from $0.5430 and $0.5601, inclusive.

表 I 有 1 筆交易的價格引用這則附註。

The sale price reported is a weighted average price. These shares of Common Stock were sold in multiple transactions at prices ranging from $0.5485 and $0.5656, inclusive.

表 I 有 1 筆交易的價格引用這則附註。

In connection with a public offering by the Issuer, on July 22, 2020, the Reporting Person acquired (i) 1,498 shares of Series F Convertible Preferred Stock, each of which is convertible into 2,500 shares of Common Stock, for a total of up to 3,745,000 shares of Common Stock, and (ii) 3,745,000 Warrants, each of which is exercisable to purchase one share of Common Stock, for a total of up to 3,745,000 shares of Common Stock, for an aggregate purchase price of $1,500,000.

表 II 有 2 筆交易的價格引用這則附註。

On July 28, 2020, the Reporting Person converted 1,498 shares of Series F Convertible Preferred Stock into 3,745,000 shares of Common Stock.

表 II 有 1 筆交易的價格引用這則附註。

看 SEC EDGAR 上的完整原文（在新分頁開啟）