Mock Lawrence E, Jr. 的 Form 4/A 修正申報

修正

American Virtual Cloud Technologies, Inc.（AVCT），2021/10/4 申報

申報編號: 0001013762-21-000177
申報時間: 2021/10/4 21:05 ET
交易日: 2021/9/8-9/16
申報延遲: 26 天
10b5-1 計畫: 表單沒有這欄（2023 年以前）
原始申報日: 2021/9/10

SEC EDGAR 原文（在新分頁開啟）

這份申報列了 7 筆非衍生性交易、2 筆衍生性交易。公開市場賣出合計 $4.48 萬。交易後 26 天申報。

這份修正申報取代了 0001213900-21-047467（2021/9/10 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
Mock Lawrence E, Jr.CIK 0001409641	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。

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
2021/9/8	Common Stock	C轉換取得	+166,843	–^F1	–	22,763,537	間接
2021/9/10	Common Stock	X行使價內選擇權取得	+2,429,561	$0.01	+$24,295.61	25,193,098	間接
2021/9/10	Common Stock	S賣出處分	−6,079	$4.00	−$24,316	25,187,019	間接
2021/9/10	Common Stock	X行使價內選擇權取得	+2,000,000	$0.01	+$20,000	27,187,019	間接
2021/9/10	Common Stock	S賣出處分	−5,005	$4.00	−$20,020	27,182,014	間接
2021/9/16	Common Stock	X行使價內選擇權取得	+50,000	$0.01	+$500	27,232,014	間接
2021/9/16	Common Stock	S賣出處分	−141	$3.53	−$497.73	27,231,873	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
2021/9/8	Common Stock	C轉換處分	−166,843	$0.00	–	0	間接
2021/9/16	Common Stock	X行使價內選擇權處分	−50,000	$0.00	$0	0	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。

On September 8, 2021, the unpaid principal amount (together with all accrued but unpaid interest thereon) of the Series A Convertible Debentures held by Nobadeer L.P. ("Nobadeer") automatically converted into shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") at a conversion price of $3.45 (the "Mandatory Conversions"). The Mandatory Conversions were triggered by the closing price of the Common Stock on the Nasdaq Capital Market exceeding $6.00 for 40 trading days within a consecutive 60 trading day-period. The reported securities are held directly by Nobadeer and indirectly by Mr. Mock, the general partner of Nobadeer. Mr. Mock disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. The Reporting Person's Form 4 filed on September 10, 2021 (the "First Form 4") inadvertently failed to report this transaction.

表 I 有 1 筆交易的價格引用這則附註。

On September 14, 2021, the Reporting Person filed a Form 4 (the "Second Form 4") that inadvertently reported the conversion (the "Prior Conversion") of debentures into 6,673,731 shares of Common Stock, when the Prior Conversion had previously been reported on the First Form 4. The warrant exercises (and subsequent payments made on a cashless basis) in footnotes (3) and (4) below, which were reported on the Second Form 4, are reported in this filing solely to correct the number of shares of Common Stock beneficially owned by the Reporting Person following each transaction.

On September 10, 2021, Navigation Capital Partners SOF I, LLC ("Investment Sub"), a direct wholly-owned subsidiary of SPAC Opportunity Fund I, L.P. ("SPAC Opps"), an entity controlled by Navigation Capital Partners, Inc. ("Navigation Capital") elected to exercise each of its 24,295 warrants (each such warrant entitling the holder thereof to purchase 100 shares of Common Stock at a price of $0.01 per share), and paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 6,079 of the warrant shares to pay the exercise price and issuing to Investment Sub the remaining 2,423,482 shares of Common Stock. Each of the warrants were immediately exercisable and had expiration dates five years from the date of issuance (December 1, 2025, for 10,000 warrants and 79,900 warrants issued on December 1, 2020 and April 7, 2025, for 6,305 warrants issued on April 7, 2020).

(continued from footnote (3)) 6,305 of the warrants were previously held by SPAC Opportunity Partners, LLC prior to being transferred to Investment Sub, and no Form 4 was filed for such transfer due to administrative error. The Reporting Person controls Navigation Capital and as a result, each of the Reporting Person, Navigation Capital and SPAC Opps may be deemed to indirectly beneficially own the reported securities. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

On September 10, 2021, Stratos Management Systems Holdings, LLC elected to exercise each of its 20,000 warrants (each such warrant entitling the holder thereof to purchase 100 shares of Common Stock at a price of $0.01 per share), and paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 5,005 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 1,994,995 shares of Common Stock. The Reporting Person may be deemed to be an indirect beneficial owner of the reported securities. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

On September 16, 2021, Nobadeer elected to exercise each of its 500 warrants (each such warrant entitling the holder thereof to purchase 100 shares of Common Stock at a price of $0.01 per share), and paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 141 of the warrant shares to pay the exercise price and issuing to Nobadeer the remaining 49,859 shares of Common Stock. The reported securities are held directly by Nobadeer and indirectly by Mr. Mock, the general partner of Nobadeer. Mr. Mock disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

看 SEC EDGAR 上的完整原文（在新分頁開啟）