Cherington Charles 的 Form 4 申報
Ernexa Therapeutics Inc.（ERNA），2024/11/5 申報
- 申報編號
- 0001104659-24-114222
- 申報時間
- 2024/11/5 12:42 ET
- 交易日
- 2024/9/23-10/29
- 申報延遲
- 43 天遲報
- 10b5-1 計畫
- 沒有勾選
這份申報列了 6 筆非衍生性交易、11 筆衍生性交易。交易後 43 天才申報，超過 2 個營業日的期限。
這份申報後來被修正申報 0001104659-25-045416（2025/5/7）取代，網站的交易表改用修正後的版本。
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。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2024/10/29 | Common Stock | P買進取得 | +261,756 | –F1,F2,F3 | – | 818,221 | 直接 | |
| 2024/10/29 | Common Stock | P買進取得 | +4,768,783 | –F1,F2,F4 | – | 5,587,004 | 直接 | |
| 2024/10/29 | Common Stock | P買進取得 | +1,237,762 | –F1,F2,F5 | – | 6,824,766 | 直接 | |
| 2024/10/29 | Common Stock | P買進取得 | +5,420,823 | –F1,F2,F6 | – | 12,245,589 | 直接 | |
| 2024/10/29 | Common Stock | P買進取得 | +1,562,988 | –F1,F2,F7 | – | 13,808,577 | 直接 | |
| 2024/10/29 | Common Stock | C轉換取得 | +2,819,546 | $0.50 | +$1,409,773 | 16,628,123 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2024/9/23 | Common Stock | P買進取得 | +41,958 | –F9 | – | – | 直接 | |
| 2024/9/23 | Common Stock | P買進取得 | +83,916 | –F9 | – | 2,391,608 | 直接 | |
| 2024/9/23 | Common Stock | P買進取得 | +41,958 | –F10 | – | – | 直接 | |
| 2024/9/23 | Common Stock | P買進取得 | +83,916 | –F10 | – | 2,475,524 | 直接 | |
| 2024/9/24 | Common Stock | P買進取得 | +2,737,252 | $1,368,626.00 | – | – | 直接 | 價格異常 |
| 2024/10/29 | Common Stock | C轉換處分 | −2,737,252 | $0.00 | – | 0 | 直接 | |
| 2024/10/29 | Common Stock | S賣出處分 | −3,125,976 | –F1,F2 | – | 0 | 直接 | |
| 2024/10/29 | Common Stock | S賣出處分 | −1,237,762 | –F1,F2 | – | 0 | 直接 | |
| 2024/10/29 | Common Stock | S賣出處分 | −523,512 | –F1,F2 | – | 0 | 直接 | |
| 2024/10/29 | Common Stock | S賣出處分 | −2,475,524 | –F1,F2 | – | 0 | 直接 | |
| 2024/10/29 | Common Stock | S賣出處分 | −3,125,976 | –F1,F2 | – | 0 | 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 an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and
表 I 有 5 筆、表 II 有 5 筆交易的價格引用這則附註。
- F2
(ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.
表 I 有 5 筆、表 II 有 5 筆交易的價格引用這則附註。
- F3
Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's warrants to purchase shares of Common Stock at an exercise price of $1.43 per share with an expiration date of June 2, 2028.
表 I 有 1 筆交易的價格引用這則附註。
- F4
Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's 6.0% Senior Convertible Promissory Notes due 2028 in the aggregate principal amount of $3,300,000 plus applicable interest.
表 I 有 1 筆交易的價格引用這則附註。
- F5
Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's warrants to purchase shares of Common Stock at an exercise price of $1.43 per share with an expiration date of July 14, 2028.
表 I 有 1 筆交易的價格引用這則附註。
- F6
Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's 12.0% Senior Convertible Notes due December 12, 2028 in the aggregate principal amount of $3,000,000 plus applicable interest.
表 I 有 1 筆交易的價格引用這則附註。
- F7
Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's warrants to purchase shares of Common Stock at an exercise price of $1.43 per share with an expiration date of December 15, 2028.
表 I 有 1 筆交易的價格引用這則附註。
- F9
On September 23, 2024, the reporting person agreed to forgive a personal loan to an investor in the Issuer's July 2023 private placement for $50,000 in exchange for all of such investor's warrants to purchase shares of Common Stock and 6.0% Senior Convertible Promissory Notes due 2028.
表 II 有 2 筆交易的價格引用這則附註。
- F10
On September 23, 2024, the reporting person agreed to forgive a personal loan for $50,000 to a second investor (separate from the investor referenced in footnote 9) in the Issuer's July 2023 private placement in exchange for all of such invetsor's warrants to purchase shares of Common Stock and 6.0% Senior Convertible Promissory Notes due 2028.
表 II 有 2 筆交易的價格引用這則附註。