Redmile Group, LLC 的 Form 4 申報
Augmedix, Inc.（AUGX），2023/11/22 申報
- 申報編號
- 0001104659-23-120752
- 申報時間
- 2023/11/22 16:15 ET
- 交易日
- 2023/11/20
- 申報延遲
- 2 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 2 筆非衍生性交易、2 筆衍生性交易。公開市場買進合計 $600.0 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 |
|---|---|
| Redmile Group, LLCCIK 0001425738 | 董事、持股 10% 以上大股東 |
| Green JeremyCIK 0001650527 | 董事、持股 10% 以上大股東 |
| RedCo II Master Fund, L.P.CIK 0001921783 | 董事、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 |
|---|---|---|---|---|---|---|---|---|
| 2023/11/20 | Common Stock | P買進取得 | +750,000 | $4.00 | +$3,000,000 | 16,404,017 | 間接 | |
| 2023/11/20 | Common Stock | P買進取得 | +750,000 | $4.00 | +$3,000,000 | 9,446,146 | 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。
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。
- F3
As previously reported by Redmile on April 21, 2023, the Issuer entered into a securities purchase agreement (the "Purchase Agreement") on April 19, 2023 with certain shareholders, including RedCo II, pursuant to which the Issuer issued and sold to RedCo II shares of Common Stock and a pre-funded warrant. Pursuant to the terms of the Purchase Agreement, the Issuer also issued and sold to RedCo II a warrant (the "Breakeven Warrant") to purchase up to 1,093,799 shares of Common Stock, at an exercise price of $1.75 per share, which would only become exercisable on the earliest of (a) the date on which the Issuer closes an equity or debt financing prior to December 31, 2025;
表 II 有 2 筆交易的價格引用這則附註。
- F4
[continued from (3)] (b) December 31, 2025, if the Issuer cannot provide written certification that it has achieved cash flow break even from operations, excluding interest payments, for two out of three consecutive quarters prior to such date; (c) immediately prior to a change of control that occurs prior to December 31, 2025; and (d) the date on which a specified regulatory event occurs; provided, however, that the initial exercise date of the Breakeven Warrant could not be prior to the six-month anniversary of the issuance date in accordance with Nasdaq stockholder approval rules. The Breakeven Warrant became exercisable upon the closing of the Equity Financing. The Breakeven Warrant will expire on the seventh anniversary of the issuance date.
表 II 有 2 筆交易的價格引用這則附註。
備註
Mr. Robert Faulkner, a member of the board of directors of the Issuer and a managing director of Redmile, was elected to the board of the Issuer as a representative of Redmile and its affiliates. As a result, the Reporting Persons are directors by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.