Redmile Group, LLC 的 Form 4 申報
ADC Therapeutics SA（ADCT），2024/2/9 申報
- 申報編號
- 0001104659-24-013529
- 申報時間
- 2024/2/9 21:50 ET
- 交易日
- 2024/1/3-2/7
- 申報延遲
- 37 天遲報
- 10b5-1 計畫
- 沒有勾選
這份申報列了 22 筆衍生性交易。交易後 37 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 |
|---|---|
| Redmile Group, LLCCIK 0001425738 | 持股 10% 以上大股東 |
| Green JeremyCIK 0001650527 | 持股 10% 以上大股東 |
| RedCo II Master Fund, L.P.CIK 0001921783 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2024/1/3 | Common Shares | P買進取得 | +56,900 | –F7 | – | 56,900 | 直接 | |
| 2024/1/3 | Common Shares | J其他處分 | −59,986 | $1.68F9 | −$100,494.55 | 1,199,836 | 間接 | |
| 2024/1/4 | Common Shares | P買進取得 | +28,652 | –F7 | – | 28,652 | 直接 | |
| 2024/1/5 | Common Shares | P買進取得 | +50,000 | –F7 | – | 50,000 | 直接 | |
| 2024/1/8 | Common Shares | P買進取得 | +100,000 | –F7 | – | 100,000 | 直接 | |
| 2024/1/9 | Common Shares | P買進取得 | +100,000 | –F7 | – | 100,000 | 直接 | |
| 2024/1/10 | Common Shares | P買進取得 | +100,000 | –F7 | – | 100,000 | 直接 | |
| 2024/1/11 | Common Shares | P買進取得 | +100,000 | –F7 | – | 100,000 | 直接 | |
| 2024/1/12 | Common Shares | P買進取得 | +93,424 | –F7 | – | 93,424 | 直接 | |
| 2024/1/16 | Common Shares | P買進取得 | +53,900 | –F7 | – | 53,900 | 直接 | |
| 2024/1/24 | Common Shares | P買進取得 | +50,000 | –F7 | – | 50,000 | 直接 | |
| 2024/1/25 | Common Shares | P買進取得 | +100,000 | –F7 | – | 100,000 | 直接 | |
| 2024/1/26 | Common Shares | P買進取得 | +100,000 | –F7 | – | 100,000 | 直接 | |
| 2024/1/29 | Common Shares | P買進取得 | +150,000 | –F7 | – | 150,000 | 直接 | |
| 2024/1/30 | Common Shares | P買進取得 | +100,000 | –F7 | – | 100,000 | 直接 | |
| 2024/1/31 | Common Shares | P買進取得 | +150,000 | –F7 | – | 150,000 | 直接 | |
| 2024/2/1 | Common Shares | J其他處分 | −19,700 | $3.38F9 | −$66,680.56 | 1,180,136 | 間接 | |
| 2024/2/1 | Common Shares | P買進取得 | +205,483 | –F7 | – | 205,483 | 直接 | |
| 2024/2/1 | Common Shares | P買進取得 | +15,867 | –F7 | – | 15,867 | 間接 | |
| 2024/2/2 | Common Shares | P買進取得 | +144,517 | –F7 | – | 144,517 | 直接 | |
| 2024/2/2 | Common Shares | P買進取得 | +11,159 | –F7 | – | 11,159 | 間接 | |
| 2024/2/7 | Common Shares | P買進取得 | +107,590 | –F7 | – | 107,590 | 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。
- F7
Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Redmile Clients in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Clients will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.
表 II 有 20 筆交易的價格引用這則附註。
- F9
Reflects the partial settlement of an equity swap agreement entered into by and between a Redmile Client and a securities broker on December 16, 2023.
表 II 有 2 筆交易的價格引用這則附註。
備註
The Reporting Persons have notified the Issuer regarding prompt payment of short swing profits resulting from the reported transactions calculated in accordance with Section 16(b) of the Exchange Act.