Shulman Joseph 的 Form 4/A 修正申報
修正Rhythm Pharmaceuticals, Inc.（RYTM），2024/11/13 申報
- 申報編號
- 0001104659-24-117940
- 申報時間
- 2024/11/13
- 交易日
- 2024/2/9
- 申報延遲
- 278 天
- 10b5-1 計畫
- 有勾選
- 原始申報日
- 2024/2/13
這份申報列了 2 筆非衍生性交易、2 筆衍生性交易。沿用原件裡沒有重述的 8 筆交易。公開市場賣出合計 $368.0 萬。交易後 278 天申報。
這份修正申報重述了 0001104659-24-022537（2024/2/13 申報）的一部分，沒有重述的交易仍然有效，列在下面。
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 |
|---|---|
| Shulman JosephCIK 0001909855 | 高階主管（技術長） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2024/2/9 | Common Stock | M行使選擇權取得 | +65,175 | $21.38 | +$1,393,441.5 | 70,415 | 直接 | |
| 2024/2/9 | Common Stock | M行使選擇權取得 | +3,985 | $6.80 | +$27,098 | 74,430 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2024/2/9 | Common Stock | M行使選擇權處分 | −65,175 | $0.00 | $0 | 10,625 | 直接 | |
| 2024/2/9 | Common Stock | M行使選擇權處分 | −3,985 | $0.00 | $0 | 31,875 | 直接 |
沿用原件的交易
這份修正申報只重述了原件的一部分。原件其他的交易仍然有效，網站的交易表把它們算在這份修正申報底下。
來自 0001104659-24-022537（2024/2/13 申報）。
非衍生性證券（表 I）
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2024/2/9 | Common Stock | S賣出處分 | −100 | $48.24 | −$4,824 | 74,360 | 直接 | |
| 2024/2/9 | Common Stock | S賣出處分 | −48,177 | $50.14F4 | −$2,415,594.78 | 26,183 | 直接 | |
| 2024/2/9 | Common Stock | S賣出處分 | −23,397 | $50.88F5 | −$1,190,439.36 | 2,786 | 直接 | |
| 2024/2/9 | Common Stock | S賣出處分 | −100 | $51.52 | −$5,152 | 2,686 | 直接 | |
| 2024/2/11 | Common Stock | M行使選擇權取得 | +1,562 | –F1 | – | 4,248 | 直接 | |
| 2024/2/12 | Common Stock | S賣出處分 | −791 | $51.38 | −$40,641.58 | 3,457 | 直接 | |
| 2024/2/13 | Common Stock | S賣出處分 | −473 | $49.84 | −$23,574.32 | 2,984 | 直接 |
衍生性證券（表 II）
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2024/2/11 | Common Stock | M行使選擇權處分 | −1,562 | $0.00 | $0 | 1,562 | 直接 |
原件的附註
這幾筆交易的價格在原件上引用的附註。
- F1
Each restricted stock unit represents a contingent right to receive one share of Issuer common stock.
表 I 有 1 筆交易的價格引用這則附註。
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $49.47 to $50.46. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $50.47 to $51.43. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
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
This amendment is being filed to correct the number of options exercised in row two of each of Table I and Table II in the originally filed Form 4 on February 13, 2024; and to report the exercise of the options in row two of each of Table I and Table II in this amended Form 4. The originally filed Form 4 reported 69,190 options exercised in row two of each of Table 1 and Table II which should have been 69,160, the total amount actually exercised.
- F2
The stock options were granted on July 27, 2020. 25% of the shares subject to the option vested and became exercisable on July 27, 2021 and the remaining 75% of the shares subject to the option shall vest and become exercisable in 12 substantially equal installments upon the Reporting Person's completion of each three full months of successive service to the Issuer thereafter.
- F3
The stock options were granted on February 9, 2022. The options vest and become exercisable in 16 substantially equal installments upon the Reporting Person's completion of each three full months of successive service to the Issuer following the grant date.
備註
Exhibit 24