Philip & Daniele Barach Family Trust 的 Form 4 申報
Celularity Inc（CELU），2026/9/25 申報
- 申報編號
- 0001104659-26-111028
- 申報時間
- 2026/9/25 16:59 ET
- 交易日
- 2026/9/23
- 申報延遲
- 2 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 5 筆衍生性交易。交易後 2 天申報。
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 |
|---|---|
| Philip & Daniele Barach Family TrustCIK 0002107059 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2026/9/23 | Class A Common Stock | J其他取得 | +2,000,000 | –F1 | – | 2,000,000 | 直接 | 重複申報 |
| 2026/9/23 | Class A Common Stock | J其他取得 | +2,140,000 | –F3 | – | 2,140,000 | 直接 | 重複申報 |
| 2026/9/23 | Class A Common Stock | J其他取得 | +1,177,000 | –F3,F4 | – | 1,177,000 | 直接 | 重複申報 |
| 2026/9/23 | Class A Common Stock | J其他取得 | +1,457,765 | –F5 | – | 1,457,765 | 直接 | 重複申報 |
| 2026/9/23 | Class A Common Stock | J其他取得 | +1,457,765 | –F5,F6 | – | 1,457,765 | 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
Represents the amendment and restatement on September 23, 2026 of an existing convertible note of the Issuer in which the applicable conversion price was reduced from $1.66 per share to $1.50 per share and the maturity date was extended from December 31, 2026 to September 23, 2028, as a result of which the number of shares issuable upon conversion of such note was increased from 1,807,229 to 2,000,000. No additional consideration was paid in connection with such amendment and restatement.
表 II 有 1 筆交易的價格引用這則附註。
- F3
Represents shares of Class A Common Stock issuable upon the conversion of $3,210,000 in aggregate principal amount of convertible notes (the "September 2026 Notes") that the Reporting Person purchased from the Issuer for such an amount of cash on September 23, 2026.
表 II 有 2 筆交易的價格引用這則附註。
- F4
Represents shares of Class A Common Stock issuable upon the exercise of 1,177,000 warrants that the Reporting Person obtained from the Issuer in connection with the issuance of the September 2026 Notes. No additional consideration was paid in connection with the issuance of such warrants.
表 II 有 1 筆交易的價格引用這則附註。
- F5
Represents shares of Class A Common Stock issuable upon the conversion of up to $2,915,531 in aggregate principal amount of convertible notes (the "September 2027 Notes") that the Reporting Person has the option to purchase from the Issuer at any time until September 30, 2027. Such option is a contractual right granted by the Issuer in connection with the issuance of the September 2026 Notes for, which no additional consideration was paid.
表 II 有 2 筆交易的價格引用這則附註。
- F6
Represents shares of Class A Common Stock issuable upon the exercise of up to 1,457,765 warrants that the Reporting Person has the option to obtain from the Issuer for in connection with the issuance of September 2027 Notes at any time until September 30, 2027. Such option is a contractual right granted by the Issuer in connection with the issuance of the September 2026 Notes for, which no additional consideration was paid.
表 II 有 1 筆交易的價格引用這則附註。