Cherington Charles 的 Form 4 申報
Ernexa Therapeutics Inc.（ERNA），2023/12/20 申報
- 申報編號
- 0001104659-23-127551
- 申報時間
- 2023/12/20 10:05 ET
- 交易日
- 2023/12/14
- 申報延遲
- 6 天遲報
- 10b5-1 計畫
- 沒有勾選
這份申報列了 6 筆衍生性交易。交易後 6 天才申報，超過 2 個營業日的期限。
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 |
|---|---|
| Cherington CharlesCIK 0001448698 | 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。
這份申報沒有這一類的交易。
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 |
|---|---|---|---|---|---|---|---|---|
| 2023/12/14 | Common Stock | P買進取得 | +1,562,988 | $3,000,000.00 | – | – | 直接 | 價格異常 |
| 2023/12/14 | Common Stock | P買進取得 | +3,125,976 | $0.125F1 | +$390,747 | 3,125,976 | 直接 | |
| 2023/12/14 | Common Stock | H少見代碼處分 | −2,307,692 | –F4 | – | 0 | 直接 | |
| 2023/12/14 | Common Stock | P買進取得 | +2,307,692 | –F4 | – | 2,307,692 | 直接 | |
| 2023/12/14 | Common Stock | H少見代碼處分 | −523,512 | –F5 | – | 0 | 直接 | |
| 2023/12/14 | Common Stock | P買進取得 | +523,512 | –F5 | – | 523,512 | 直接 |
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 reporting person entered into a Securities Purchase Agreement with the Issuer on December 14, 2023, pursuant to which, on December 15, 2023, the reporting person acquired (i) $3,000,000 principal amount of the Issuer's 12.0% Senior Convertible Notes (the "Notes") and (ii) 3,125,976 warrants, each exercisable to purchase one share of the Company's common stock, par value $0.005 per share ("Common Stock"), at an exercise price of $1.43 per share (the "Warrants"), representing 200% of the number of shares of Common Stock issuable upon conversion of the Notes immediately after the issuance thereof. The conversion price for each Note included $0.25 ($0.125 for each Warrant) in accordance with Nasdaq rules.
表 II 有 1 筆交易的價格引用這則附註。
- F4
The transactions reported in Table II above involved the amendment of an outstanding warrant issued on July 14, 2023 to reduce the exercise price from $2.61 per share to $1.43 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one.
表 II 有 2 筆交易的價格引用這則附註。
- F5
The transactions reported in Table II above involved the amendment of an outstanding warrant issued on December 2, 2022 to reduce the exercise price from $3.28 per share to $1.43 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one.
表 II 有 2 筆交易的價格引用這則附註。