Cherington Charles 的 Form 4/A 修正申報
修正Ernexa Therapeutics Inc.（ERNA），2025/5/7 申報
- 申報編號
- 0001104659-25-045416
- 申報時間
- 2025/5/7 11:48 ET
- 交易日
- 2024/9/24
- 申報延遲
- 225 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2024/11/5
這份申報列了 5 筆非衍生性交易、5 筆衍生性交易。沿用原件裡沒有重述的 7 筆交易。交易後 225 天申報。
這份修正申報重述了 0001104659-24-114222（2024/11/5 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2024/9/24 | Common Stock | P買進取得 | +261,756 | –F3,F5,F6 | – | 818,221 | 直接 | |
| 2024/9/24 | Common Stock | P買進取得 | +4,768,783 | –F4,F5,F7 | – | 5,587,004 | 直接 | |
| 2024/9/24 | Common Stock | P買進取得 | +1,237,762 | –F3,F5,F8 | – | 6,824,766 | 直接 | |
| 2024/9/24 | Common Stock | P買進取得 | +5,420,823 | –F4,F5,F9 | – | 12,245,589 | 直接 | |
| 2024/9/24 | Common Stock | P買進取得 | +1,562,988 | –F3,F5,F10 | – | 13,808,577 | 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。
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 0001104659-24-114222（2024/11/5 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 |
|---|---|---|---|---|---|---|---|---|
| 2024/10/29 | 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）
| 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 |
原件的附註
這幾筆交易的價格在原件上引用的附註。
- 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。
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
On November 5, 2024, the Reporting Person filed a Form 4 that included an incorrect transaction date of October 29, 2024 for the Exchange Transactions (as defined below) based on the fact that under the Exchange Agreement (as defined below) consummation of the Exchange Transactions was conditioned upon Stockholder Approval (as defined in the Exchange Agreement). This amendment is being filed to reflect the correct transaction date for the Exchange Transactions of September 24, 2024 based on the analysis set forth in footnote 2 below.
- F2
Upon review of the relevant facts and caselaw, the Reporting Person has determined that the Stockholder Approval was not a material condition for the Exchange Transactions as the Reporting Person and several other stockholders exchanging securities with the Company had entered into support agreements with the Issuer on September 24, 2024 (as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on September 25, 2024) pursuant to which each stockholder agreed to vote all of their eligible voting securities in favor of the Stockholder Approval. According to the Issuer's Definitive Proxy Statement filed with the SEC on October 7, 2024, the parties to the support agreements owned approximately 48% of the Issuer's outstanding Common Stock, which meant that the satisfaction of the condition was practically assured and the Reporting Person became irrevocably committed to the Exchange Transactions on September 24, 2024 after all parties entered into the support agreements.
- F3
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 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) (the "Warrant Exchange").
表 I 有 3 筆、表 II 有 3 筆交易的價格引用這則附註。
- F4
The Reporting Person also agreed pursuant to the Exchange Agreement to 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) (collectively with the Warrant Exchange, the "Exchange Transactions").
表 I 有 2 筆、表 II 有 2 筆交易的價格引用這則附註。
- F5
Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, 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。
- F6
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。
- F7
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。
- F8
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。
- F9
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。
- F10
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。