Kozlowski Daniel R 的 Form 4/A 修正申報
修正Pure Cycle Corp（PCYO），2024/12/5 申報
- 申報編號
- 0000919574-24-007018
- 申報時間
- 2024/12/5 18:02 ET
- 交易日
- 2022/11/29-11/30
- 申報延遲
- 737 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2022/12/1
這份申報列了 6 筆非衍生性交易。公開市場賣出合計 $51.2 萬。交易後 737 天申報。
這份修正申報取代了 0000919574-22-006942（2022/12/1 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 |
|---|---|
| Kozlowski Daniel RCIK 0001791057 | 董事、持股 10% 以上大股東 |
| Plaisance Capital LLCCIK 0001761269 | 持股 10% 以上大股東 |
| Plaisance SPV I, LLCCIK 0001791049 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/11/29 | Common Stock, par value 1/3 of $0.01 per share | J其他處分 | −344,967 | –F2,F3 | – | 865,042 | 間接 | |
| 2022/11/30 | Common Stock, par value 1/3 of $0.01 per share | J其他處分 | −865,042 | –F2,F3 | – | 0 | 間接 | |
| 2022/11/29 | Common Stock, par value 1/3 of $0.01 per share | S賣出處分 | −16,500 | $10.21F4 | −$168,481.5 | 2,722,278 | 間接 | |
| 2022/11/30 | Common Stock, par value 1/3 of $0.01 per share | S賣出處分 | −33,500 | $10.24F6 | −$343,170.65 | 2,688,778 | 間接 | |
| 2022/11/29 | Common Stock, par value 1/3 of $0.01 per share | J其他取得 | +26,208 | –F2,F3 | – | 30,208 | 直接 | |
| 2022/11/30 | Common Stock, par value 1/3 of $0.01 per share | J其他取得 | +309,744 | –F2,F3 | – | 339,952 | 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
The original Form 4 is being amended to include transactions that were inadvertently excluded and to correct reporting of securities indirectly beneficially owned.
- F2
The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
表 I 有 4 筆交易的價格引用這則附註。
- F3
On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.
表 I 有 4 筆交易的價格引用這則附註。
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions within the range of $10.10 to $10.29. The Reporting Persons undertake 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 this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F5
The reported securities are directly owned by Plaisance SPV I, LLC, a Delaware limited liability company. The reported securities are deemed to be indirectly beneficially owned by the Investment Manager. The reported securities are also deemed to be indirectly beneficially owned by Daniel Kozlowski as managing member of the Investment Manager. Each of the Investment Manager and Daniel Kozlowski disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest, if any, therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions within the range of $10.10 to $10.25. The Reporting Persons undertake 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 this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The reported securities are directly owned by Daniel Kozlowski in his personal capacity.