Navy Capital Green Fund, LP 的 Form 4 申報
CLS Holdings USA, Inc.（CLSH），2024/9/12 申報
- 申報編號
- 0001019056-24-000283
- 申報時間
- 2024/9/12 15:17 ET
- 交易日
- 2024/9/10
- 申報延遲
- 2 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 1 筆非衍生性交易、4 筆衍生性交易。公開市場賣出合計 $59.9 萬。交易後 2 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 |
|---|---|
| Navy Capital Green Fund, LPCIK 0001688278 | 持股 10% 以上大股東 |
| Navy Capital Green Co-Invest Fund, LLCCIK 0001760813 | 持股 10% 以上大股東 |
| Navy Capital Green Management, LLCCIK 0001764863 | 持股 10% 以上大股東 |
| Navy Capital Green Management Partners LLCCIK 0001764864 | 持股 10% 以上大股東 |
| Kaden JohnCIK 0001764971 | 持股 10% 以上大股東 |
| Stiefel SeanCIK 0001765017 | 持股 10% 以上大股東 |
| Navy Capital Green Co-Invest Partners LLCCIK 0001766928 | 持股 10% 以上大股東 |
| Gulati ChetanCIK 0001838456 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2024/9/10 | Common Stock | S賣出處分 | −15,488,901 | $0.0387 | −$599,420.47 | 0 | 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。
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。
- F2
On September 10, 2024 the Issuer entered into a Redemption Agreement (the "Redemption Agreement") with the Navy Funds to redeem (i) the Navy Funds' shares of the Issuer's common stock (the "Shares"); (ii) The Navy Funds' warrants to purchase the Issuer's common stock (the "Warrants"); (iii) The Fund's right, title and interest to (x) the Third Amended and Restated Debenture, dated December 29, 2023, between the Fund and the Issuer (the "Parties") (the "Third Amended and Restated Debenture"), and (y) the Second Amended and Restated Unsecured Debenture No. CLSH2023-AD6, dated December 31, 2023, between the Parties (the "Second Amended and Restated Unsecured Debenture" together with the Third Amended and Restated Debenture, the "Debentures");
表 II 有 4 筆交易的價格引用這則附註。
- F3
Continuance) and (iv) the Co-Investment Fund's right title, and interest in the Third Amended and Restated Debenture, dated December 29, 2023, between the Issuer and the Co-Investment Fund (the "Co-Investment Debenture" together with the Shares, the Warrants and the Debentures, the "Redeemed Securities"). The repurchase price for all of the Warrants and the Debentures was collectively $2,000,000. The repurchase price for all of the Shares was $600,000. The Redemption Agreement aimed to, among other things, redeem the entirety of the Navy Funds' rights, titles and interests to the Redeemed Securities.
表 II 有 4 筆交易的價格引用這則附註。