Manchester Management Co LLC 的 Form 4 申報
SANUWAVE Health, Inc.（SNWV），2024/10/23 申報
- 申報編號
- 0000919574-24-005981
- 申報時間
- 2024/10/23 13:03 ET
- 交易日
- 2024/10/18
- 申報延遲
- 5 天遲報
- 10b5-1 計畫
- 沒有勾選
這份申報列了 18 筆非衍生性交易、17 筆衍生性交易。公開市場買進合計 $150.0 萬。交易後 5 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 |
|---|---|
| Manchester Management Co LLCCIK 0001169253 | 其他：Director by Deputization |
| Manchester Explorer, L.P.CIK 0001411524 | 其他：Director by Deputization |
| Besser James ECIK 0001512127 | 其他：Director by Deputization |
| Frank Morgan C.CIK 0001593072 | 持股 10% 以上大股東、其他：Director by Deputization |
| Manchester Management PR, LLCCIK 0001735534 | 其他：Director by Deputization |
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 |
|---|---|---|---|---|---|---|---|---|
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +150,000 | $15.00F1,F2,F4 | +$2,250,000 | 462,226 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +141,667 | $25.13F1,F2,F5 | +$3,560,091.71 | 603,893 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +18,000 | $15.00F1,F2,F4 | +$270,000 | 621,893 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +17,000 | $25.13F1,F2,F5 | +$427,210 | 638,893 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | C轉換取得 | +7,667 | $15.00F1,F2,F6 | +$115,005 | 646,560 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +6,000 | $15.00F1,F2,F4 | +$90,000 | 652,560 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +5,667 | $25.13F1,F2,F5 | +$142,411.71 | 658,227 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | C轉換取得 | +57,498 | $15.00F1,F2,F6 | +$862,470 | 715,725 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | C轉換取得 | +8,625 | $15.00F1,F2,F6 | +$129,375 | 724,350 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +44,998 | $15.00F1,F2,F4 | +$674,970 | 769,348 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +6,750 | $15.00F1,F2,F4 | +$101,250 | 776,098 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +42,498 | $25.13F1,F2,F5 | +$1,067,974.74 | 818,596 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +6,375 | $25.13F1,F2,F5 | +$160,203.75 | 824,971 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | P買進取得 | +181,818 | $8.25F11 | +$1,499,998.5 | 1,006,790 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +24,000 | $15.00F1,F2,F4 | +$360,000 | 61,332 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +22,667 | $25.13F1,F2,F5 | +$569,621.71 | 83,999 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +15,000 | $15.00F1,F2,F4 | +$225,000 | 38,486 | 直接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他取得 | +14,167 | $25.13F1,F2,F5 | +$356,016.71 | 52,653 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −150,000 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −141,667 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −18,000 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −17,000 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | C轉換處分 | −7,667 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −6,000 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −5,667 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | C轉換處分 | −57,498 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | C轉換處分 | −8,625 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −44,998 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −6,750 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −42,498 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −6,375 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −24,000 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −22,667 | –F1,F2 | – | 0 | 間接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −15,000 | –F1,F2 | – | 0 | 直接 | |
| 2024/10/18 | Common Stock, par value $0.001 | J其他處分 | −14,167 | –F1,F2 | – | 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。
- F1
On October 18, 2024, effective upon the implementation of the Reverse Stock Split (as defined below), the Company issued an aggregate of 3,989,456 shares of Common Stock in exchange for all outstanding (A) Future Advance Convertible Promissory Notes ("Notes") and (B) Common Stock Purchase Warrants issued by the Company in private placements in August 2022, November 2022, May 2023, December 2023, January 2024 and June 2024 (collectively, the "Warrants") ((A) and (B), together, the "Exchange"). Pursuant to the Exchange, after adjustment to reflect the Reverse Stock Split, (i) each outstanding Note was fully accelerated to maturity (with 15% interest paid on the outstanding principal) and then converted (per the terms of the Note) into shares of Common Stock at $15.00 per share, (ii) each Warrant with an exercise price of $15.00 per share (i.e., $0.04 prior to the Reverse Stock Split) was exchanged for 0.0024 shares of
表 I 有 17 筆、表 II 有 17 筆交易的價格引用這則附註。
- F2
(cont'd from footnote 1) Common Stock per share subject to such Warrant (the "$15.00 Warrants"), and (iii) each Warrant with an exercise price of $25.13 per share (i.e., $0.067 prior to the Reverse Stock Split) was exchanged for approximately 0.0023 shares of Common Stock per share subject to such Warrant (the "$25.13 Warrants"). Simultaneous with the Exchange, each Warrant was exchanged pursuant to the mechanics reported by the Reporting Persons on the other Form 4 filed on October 22, 2024 by the Reporting Persons, which is incorporated herein by reference. The foregoing transactions, including the Exchange, were approved by the Board of Directors of the Issuer. The foregoing description of the Exchange does not purport to be complete and is subject to and qualified in its entirety by reference to the Issuer's 8-K filed on October 18, 2024 (the "8-K"), which is incorporated herein by reference.
表 I 有 17 筆、表 II 有 17 筆交易的價格引用這則附註。
- F4
Pursuant to the terms of the Exchange, the $15.00 Warrants were each exchanged for approximately 0.0024 shares of Common Stock per share subject to such Warrant.
表 I 有 7 筆交易的價格引用這則附註。
- F5
Pursuant to the terms of the Exchange, the $25.13 Warrants were each exchanged for approximately 0.0023 shares of Common Stock per share subject to such Warrant.
表 I 有 7 筆交易的價格引用這則附註。
- F6
Pursuant to the terms of the Exchange, each outstanding Note was fully accelerated to maturity (with 15% interest paid on the outstanding principal) and then converted (per the terms of the Note) into shares of Common Stock at $15.00 per share.
表 I 有 3 筆交易的價格引用這則附註。
- F11
On October 16, 2024, Explorer entered into a securities purchase agreement (the "Purchase Agreement") with the Issuer, pursuant to which Explorer acquired 181,818 shares of the Issuer's Common Stock from the Issuer in a private placement at a price of $8.25 per share of Common Stock (the "Private Placement"), in each case, after adjustment to reflect the Reverse Stock Split. The Private Placement closed on October 18, 2024. The foregoing descriptions of the Purchase Agreement and the Private Placement do not purport to be complete and is subject to and qualified in its entirety by reference to the 8-K, which is incorporated herein by reference.
表 I 有 1 筆交易的價格引用這則附註。