Heng Jun Hong 的 Form 4/A 修正申報
修正Luminar Technologies, Inc.（LAZRQ），2022/3/15 申報
- 申報編號
- 0000929638-22-000606
- 申報時間
- 2022/3/15
- 交易日
- 2022/3/10
- 申報延遲
- 5 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2022/3/11
這份申報列了 13 筆非衍生性交易。沿用原件裡沒有重述的 21 筆交易。公開市場賣出合計 $331.7 萬。交易後 5 天申報。
這份申報後來被修正申報 0000929638-22-000608（2022/3/15）取代，網站的交易表改用修正後的版本。
這份修正申報重述了 0000929638-22-000602（2022/3/11 申報）的一部分，沒有重述的交易仍然有效，列在下面。
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 |
|---|---|
| Heng Jun HongCIK 0001842577 | 董事 |
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 |
|---|---|---|---|---|---|---|---|---|
| 2022/3/10 | Class A common stock | J其他取得 | +20,317 | $0.00 | $0 | 20,317 | 間接 | |
| 2022/3/10 | Class A common stock | J其他處分 | −18,971 | $0.00 | $0 | 1,346 | 間接 | |
| 2022/3/10 | Class A common stock | J其他處分 | −1,346 | $0.00 | $0 | 0 | 間接 | |
| 2022/3/10 | Class A common stock | J其他取得 | +14,614 | $0.00 | $0 | 14,614 | 間接 | |
| 2022/3/10 | Class A common stock | J其他處分 | −6,584 | $0.00 | $0 | 8,030 | 間接 | |
| 2022/3/10 | Class A common stock | J其他處分 | −8,030 | $0.00 | $0 | 0 | 間接 | |
| 2022/3/10 | Class A common stock | J其他取得 | +737 | $0.00 | $0 | 737 | 間接 | |
| 2022/3/10 | Class A common stock | J其他處分 | −664 | $0.00 | $0 | 73 | 間接 | |
| 2022/3/10 | Class A common stock | J其他處分 | −73 | $0.00 | $0 | 0 | 間接 | |
| 2022/3/10 | Class A common stock | J其他取得 | +1,036 | $0.00 | $0 | 1,036 | 間接 | |
| 2022/3/10 | Class A common stock | J其他處分 | −700 | $0.00 | $0 | 336 | 間接 | |
| 2022/3/10 | Class A common stock | J其他處分 | −336 | $0.00 | $0 | 0 | 間接 | |
| 2022/3/10 | Class A common stock | J其他取得 | +26,919 | $0.00 | $0 | 358,821 | 間接 |
沿用原件的交易
這份修正申報只重述了原件的一部分。原件其他的交易仍然有效，網站的交易表把它們算在這份修正申報底下。
來自 0000929638-22-000602（2022/3/11 申報）。
非衍生性證券（表 I）
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/3/9 | Class A common stock | S賣出處分 | −35,933 | $13.50F1 | −$485,095.5 | 1,568,022 | 間接 | |
| 2022/3/9 | Class A common stock | J其他取得 | +32,598 | $0.00 | $0 | 74,010 | 間接 | |
| 2022/3/9 | Class A common stock | J其他處分 | −13,458 | $0.00 | $0 | 60,552 | 間接 | |
| 2022/3/9 | Class A common stock | S賣出處分 | −25,510 | $13.23 | −$337,497.3 | 35,042 | 間接 | |
| 2022/3/10 | Class A common stock | S賣出處分 | −25,576 | $13.20 | −$337,603.2 | 0 | 間接 | |
| 2022/3/9 | Class A common stock | J其他取得 | +19,056 | $0.00 | $0 | 36,074 | 間接 | |
| 2022/3/9 | Class A common stock | S賣出處分 | −12,409 | $13.23 | −$164,171.07 | 23,665 | 間接 | |
| 2022/3/10 | Class A common stock | S賣出處分 | −12,442 | $13.20 | −$164,234.4 | 0 | 間接 | |
| 2022/3/9 | Class A common stock | J其他處分 | −32,598 | $0.00 | $0 | 110,825 | 間接 | |
| 2022/3/9 | Class A common stock | S賣出處分 | −47,920 | $13.23 | −$633,981.6 | 62,905 | 間接 | |
| 2022/3/10 | Class A common stock | S賣出處分 | −48,037 | $13.20 | −$634,088.4 | 0 | 間接 | |
| 2022/3/9 | Class A common stock | J其他取得 | +31,611 | $0.00 | $0 | 885,606 | 間接 | |
| 2022/3/9 | Class A common stock | J其他取得 | +35,577 | $0.00 | $0 | 711,012 | 間接 | |
| 2022/3/9 | Class A common stock | J其他處分 | −7,107 | $0.00 | $0 | 703,905 | 間接 | |
| 2022/3/9 | Class A common stock | J其他處分 | −37,209 | $0.00 | $0 | 2,921 | 間接 | |
| 2022/3/9 | Class A common stock | J其他取得 | +7,107 | $0.00 | $0 | 10,028 | 間接 | |
| 2022/3/9 | Class A common stock | S賣出處分 | −4,308 | $13.23 | −$56,994.84 | 5,720 | 間接 | |
| 2022/3/10 | Class A common stock | S賣出處分 | −4,319 | $13.20 | −$57,010.8 | 0 | 間接 | |
| 2022/3/9 | Class A common stock | S賣出處分 | −16,853 | $13.23 | −$222,965.19 | 17,933 | 間接 | |
| 2022/3/10 | Class A common stock | S賣出處分 | −16,897 | $13.20 | −$223,040.4 | 1,036 | 間接 | |
| 2022/3/9 | Class A common stock | J其他處分 | −35,577 | $0.00 | $0 | 227,128 | 間接 |
原件的附註
這幾筆交易的價格在原件上引用的附註。
- F1
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.54, inclusive. The reporting person undertakes to provide to Luminar Technologies, Inc., any security holder of Luminar Technologies, Inc., 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。
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 March 11, 2022, the reporting person filed a Form 4 (the "Prior Report"). In the Prior Report, footnotes 8, 10, 14, 16 and 19 state that the relevant entity distributed the applicable number of shares to its general partner for no consideration. Footnote 5 of the Prior Report states that the relevant general partner distributed the applicable number of shares to the Heng Zhao JT Revocable Trust for no consideration.
- F2
The Prior Report inadvertently did not name or include the holdings of the relevant general partner in Table I after the distributions described in the Prior Report. This amendment is being filed to report such name and holdings. The reporting person is the managing member of each of Crescent Cove Capital GP II LLC, Crescent Cove Capital GP, LLC, Crescent Cove Opportunity GP, LP, and Crescent Cove SPV GP, LLC and therefore may be deemed to hold voting and dispositive power over the shares held by such entities.
- F3
On March 10, 2022, Crescent Cove Capital GP, LLC received the following shares in a distribution from the following entities for no consideration: (i) 8,718 shares from Crescent Cove Luminar SPV, LLC; (ii) 10,887 shares from Crescent Cove Capital LP; and (iii) 712 shares from CC Holdings IX Co-Invest Fund, LP. On March 10, 2022, Crescent Cove Capital GP, LLC distributed 18,971 shares to the Heng Zhao JT Revocable Trust for no consideration. On March 10, 2022, Crescent Cove Capital GP, LLC distributed the remaining shares to its general partners who are unrelated to the reporting person for no consideration.
- F4
On March 10, 2022, Crescent Cove Capital GP II LLC received 14,614 shares in a distribution from CC Holdings IV LLC for no consideration. On March 10, 2022, Crescent Cove Capital GP II LLC distributed 6,584 shares to the Heng Zhao JT Revocable Trust for no consideration. On March 10, 2022, Crescent Cove Capital GP II LLC distributed the remaining shares to its general partners who are unrelated to the reporting person for no consideration.
- F5
On March 10, 2022, Crescent Cove Opportunity GP, LP received 737 shares in a distribution from CC Holdings I LLC for no consideration. On March 10, 2022, Crescent Cove Opportunity GP, LP distributed 664 shares to the Heng Zhao JT Revocable Trust for no consideration. On March 10, 2022, Crescent Cove Opportunity GP, LP distributed the remaining shares to its general partners who are unrelated to the reporting person for no consideration.
- F6
On March 10, 2022, Crescent Cove SPV GP, LLC received 1,036 shares in a distribution from Crescent Cove LTI SPV for no consideration. On March 10, 2022, Crescent Cove SPV GP, LLC distributed 700 shares to the Heng Zhao JT Revocable Trust for no consideration. On March 10, 2022, Crescent Cove SPV GP, LLC distributed the remaining shares to its general partners who are unrelated to the reporting person for no consideration.
- F7
The Prior Report inadvertently indicated the number of shares acquired by the Heng Zhao JT Revocable Trust as 28,110 shares but the correct number of shares acquired was 26,919scent Cove SPV GP, LLC distributed 700 shares to the Heng Zhao JT Revocable Trust for no consideration. On March 10, 2022, Crescent Cove SPV GP, L shares. Table I has been amended to reflect the correct number and footnote (5) of the Prior Report is amended to read as follows: "(5) On March 10, 2022, Heng Zhao JT Revocable Trust received the following shares from the following entities in distributions from such entities for no consideration: 6,584 shares from the general partner of CC Holdings IV LLC; 7,855 shares from the general partner of Crescent Cove Luminar SPV, LLC; 664 shares from the general partner of CC Holdings I LLC; 10,474 shares from the general partner of Crescent Cove Capital LP; 642 shares from CC Holdings IX Co-Invest Fund, LP; 700 shares from the general partner of Crescent Cove LTI-SPV, LP.