Kaufman Michael A 的 Form 4/A 修正申報
修正Agilysys Inc（AGYS），2023/12/15 申報
- 申報編號
- 0001019056-23-000427
- 申報時間
- 2023/12/15 17:58 ET
- 交易日
- 2023/11/28-11/30
- 申報延遲
- 17 天
- 10b5-1 計畫
- 有勾選
- 原始申報日
- 2023/11/30
這份申報列了 3 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $817.3 萬。交易後 17 天申報。
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 |
|---|---|
| Kaufman Michael ACIK 0001426157 | 董事、持股 10% 以上大股東 |
| Mak Capital One LLCCIK 0001385702 | 持股 10% 以上大股東 |
| MAK Capital Fund LPCIK 0001426156 | 持股 10% 以上大股東 |
| MAK Capital Distressed Debt Fund I, LPCIK 0001760572 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/11/28 | Common Stock | S賣出處分 | −28,907 | $86.25 | −$2,493,127.58 | 3,767,008 | 間接 | |
| 2023/11/29 | Common Stock | S賣出處分 | −22,434 | $84.94 | −$1,905,642.67 | 3,744,574 | 間接 | |
| 2023/11/30 | Common Stock | S賣出處分 | −44,427 | $84.95 | −$3,774,202.49 | 3,700,147 | 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。
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/11/30 | Common Stock | J其他處分 | −1,735,457 | $20.17 | −$35,000,002.59 | 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。
- F1
The sale transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 Transaction Plan dated August 1, 2023 between MAK Capital One LLC ("MAK Capital") and BTIG, LLC.
- F2
MAK Capital acts as the investment manager of MAK Capital Fund LP ("MAK Fund") and MAK Capital Distressed Debt Fund I LP ("MAK CDD Fund). Michael A. Kaufman is the managing member of MAK Capital. Each of MAK Capital and Michael A. Kaufman ("Mr. Kaufman") may be deemed to indirectly beneficially own the shares of Common Stock held by MAK Fund and MAK CDD Fund. Each of MAK Capital and Mr. Kaufman disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. Each of MAK Capital, MAK Fund, MAK CDD Fund and Mr. Kaufman may be deemed to be a member of a "group" (within the meaning of Rule 13d-5 under the Act) whose members in the aggregate beneficially own more than 10% of the outstanding shares of Common Stock.
- F3
23,964 shares were sold by MAK Fund and 4,943 shares were sold by MAK CDD Fund.
- F4
18,598 shares were sold by MAK Fund and 3,836 shares were sold by MAK CDD Fund.
- F5
36,830 shares were sold by MAK Fund and 7,597 shares were sold by MAK CDD Fund.
備註
*In Table I, the reported price is a weighted average price. The Reporting Persons undertake to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. In Table I, the amount of securities beneficially owned following the reported transaction on 11/28/23 includes the shares of common stock issued upon the mandatory conversion of the Series A Convertible Preferred Stock reported on Table II above. Of the 3,767,008 shares MAK Fund holds 3,474,444 shares and MAK CDD Fund holds 292,564 shares. In Table II, the transaction code refers to the mandatory conversion by the Issuer of its Series A Convertible Preferred Stock into an equal number of shares of Common Stock exempt under SEC Rule 16b-6(b). MAK Fund received 1,437,950 shares of Common Stock and MAK CDD Fund received 297,507 shares of Common Stock as a result of the mandatory conversion. In Table II, there was no expiration date on the Series A Convertible Preferred Stock. In Table II, Item #11, MAK Fund held 1,437,950 shares of Series A Convertible Preferred Stock and MAK CDD Fund held 297,507 shares of Series A Convertible Preferred Stock.