Ares Management Corp 的 Form 4 申報
AZEK Co Inc.（AZEK），2023/6/12 申報
- 申報編號
- 0001104659-23-070477
- 申報時間
- 2023/6/12 17:56 ET
- 交易日
- 2023/6/8-6/9
- 申報延遲
- 4 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 2 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $1.26 億。交易後 4 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 |
|---|---|
| Ares Management CorpCIK 0001176948 | 董事 |
| Ares Management LLCCIK 0001259313 | 董事 |
| Ares Management Holdings L.P.CIK 0001536937 | 董事 |
| Ares Corporate Opportunities Fund IV, L.P.CIK 0001543148 | 董事 |
| Ares Partners Holdco LLCCIK 0001620263 | 董事 |
| Ares Management GP LLCCIK 0001620264 | 董事 |
| ACOF Operating Manager IV, LLCCIK 0001620272 | 董事 |
| Ares Holdco LLCCIK 0001669983 | 董事 |
| Ares Voting LLCCIK 0001761656 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/6/8 | Class A Common Stock | X行使價內選擇權處分 | −1,050,000 | $24.36 | −$25,578,000 | 6,276,090 | 直接 | |
| 2023/6/9 | Class A Common Stock | S賣出處分 | −4,886,250 | $25.70 | −$125,576,625 | 1,389,840 | 直接 |
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 |
|---|---|---|---|---|---|---|---|---|
| 2023/6/8 | Class A Common Stock | X行使價內選擇權處分 | −1,050,000 | –F4 | – | 0 | 直接 | 重複申報 |
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。
- F4
Disposition pursuant to an underwriting agreement, dated May 16, 2023 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of Class A Common Stock pursuant to the final prospectus dated May 16, 2023 and filed with the U.S. Securities and Exchange Commission on May 18, 2023 pursuant to Rule 424(b)(7) under the Securities Act of 1933, as amended, which offering was consummated on May 16, 2023 (the "Offering"). The Underwriting Agreement granted the underwriter an option to purchase an additional 1,050,000 shares of Class A Common Stock from ACOF IV at the same price as the sale price to the underwriter in the Offering within 30 days from the date of Underwriting Agreement (the "Option"). On June 8, 2023, the underwriter exercised the Option in full.
表 II 有 1 筆交易的價格引用這則附註。
備註
For so long as ACOF IV owned more than 5% of the outstanding shares of Class A Common Stock, ACOF IV had the right to nominate directors for election to the board of directors of the Issuer pursuant to a stockholders agreement, dated June 11, 2020, by and among the Issuer, ACOF IV and the Ontario Teachers' Pension Plan Board ("OTPP"). ACOF IV previously nominated two directors to the Issuer's board of directors (the "Board"), one of whom is jointly appointed by ACOF IV and OTPP. As a result of the Offering, ACOF IV no longer beneficially owns more than 5% of the outstanding shares of Class A Common Stock and will therefore no longer be entitled to nominate directors of the Board. Accordingly, ACOF IV and each of its affiliates listed hereon may be deemed to be a director by deputization, so long as its nominees serve on the Board.