Thomson Todd S 的 Form 4 申報
Actuate Therapeutics, Inc.（ACTU），2024/8/16 申報
- 申報編號
- 0001104659-24-090619
- 申報時間
- 2024/8/16 21:12 ET
- 交易日
- 2024/8/12-8/14
- 申報延遲
- 4 天遲報
- 10b5-1 計畫
- 沒有勾選
這份申報列了 11 筆非衍生性交易、11 筆衍生性交易。公開市場賣出合計 $15.0 萬。交易後 4 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 |
|---|---|
| Thomson Todd SCIK 0001225707 | 董事、其他：16.4% Owner |
| Kairos Venture Partners II, L.P.CIK 0001696711 | 董事、其他：7.6% Owner |
| Kairos Venture Opportunities I, L.P.CIK 0001772438 | 董事、其他：5.3% Owner |
| Kairos SPV Fund LLCCIK 0001788046 | 董事、其他：2% Owner |
| Kairos-Actuate SPV, L.P.CIK 0001835962 | 董事、其他：1.5% Owner |
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 |
|---|---|---|---|---|---|---|---|---|
| 2024/8/14 | Common Stock | C轉換取得 | +1,058,318 | –F1 | – | 1,105,636 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +726,163 | –F4 | – | 726,163 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +69,445 | –F5 | – | 1,175,081 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +146,870 | –F5 | – | 873,033 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +138,889 | –F5 | – | 138,889 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +230,597 | –F6 | – | 230,597 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +132,908 | –F6 | – | 271,797 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +24,138 | –F7 | – | 254,735 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +49,984 | –F7 | – | 321,781 | 間接 | |
| 2024/8/14 | Common Stock | X行使價內選擇權取得 | +28,464 | $5.27 | +$150,005.28 | 1,203,545 | 間接 | |
| 2024/8/14 | Common Stock | S賣出處分 | −18,750 | $8.00 | −$150,000 | 1,184,795 | 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。
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2024/8/14 | Common Stock | C轉換取得 | +1,058,318 | –F1 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +726,163 | –F4 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +69,445 | –F5 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +146,870 | –F5 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +138,889 | –F5 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +230,597 | –F6 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +132,908 | –F6 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +24,138 | –F7 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +49,984 | –F7 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | X行使價內選擇權取得 | +28,464 | –F8 | – | 0 | 間接 | |
| 2024/8/12 | Common Stock | A公司授予取得 | +15,000 | $0.00 | $0 | 15,000 | 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。
- F1
The shares of Series B-1 Redeemable Convertible Preferred Stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO and had no expiration date.
表 I 有 1 筆、表 II 有 1 筆交易的價格引用這則附註。
- F4
The shares of Series B-2 Redeemable Convertible Preferred Stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO and had no expiration date.
表 I 有 1 筆、表 II 有 1 筆交易的價格引用這則附註。
- F5
The shares of Series B-3 Redeemable Convertible Preferred Stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO and had no expiration date.
表 I 有 3 筆、表 II 有 3 筆交易的價格引用這則附註。
- F6
The shares of Series B-4 Redeemable Convertible Preferred Stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO and had no expiration date.
表 I 有 2 筆、表 II 有 2 筆交易的價格引用這則附註。
- F7
The shares of Series C Redeemable Convertible Preferred Stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO and had no expiration date.
表 I 有 2 筆、表 II 有 2 筆交易的價格引用這則附註。
- F8
On August 14, 2024, in connection with the closing of the Issuer's IPO, the warrant to purchase 28,464 shares of common stock for $5.27 per share was automatically exercised on a cashless basis, resulting in the Issuer withholding of 18,750 of the warrant shares to pay the exercise price and issuing to Kairos Venture Partners II, L.P. the remaining 9,714 shares.
表 II 有 1 筆交易的價格引用這則附註。
備註
Todd Thomson serves as CFO/COO of Kairos Venture Investments, LLC and is a director on the board of directors of Actuate Therapeutics, Inc. ("Actuate"). Due to their relationship with Todd Thompson, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each of the Reporting Persons other than Todd Thompson are deemed to be directors by deputization of Actuate.