Rosenbaum Leonard A 的 Form 4/A 修正申報
修正CVD Equipment Corp（CVV），2021/9/28 申報
- 申報編號
- 0001116579-21-000018
- 申報時間
- 2021/9/28
- 交易日
- 2021/8/27-9/22
- 申報延遲
- 32 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2021/8/27
這份申報列了 13 筆非衍生性交易。公開市場賣出合計 $32.1 萬。交易後 32 天申報。
這份修正申報取代了 0001116579-21-000009（2021/8/27 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 |
|---|---|
| Rosenbaum Leonard ACIK 0001116579 | 其他：affiliate |
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 |
|---|---|---|---|---|---|---|---|---|
| 2021/8/27 | Common Stock | S賣出處分 | −4,700 | $4.77 | −$22,419 | 687,972 | 直接 | |
| 2021/8/31 | Common Stock | S賣出處分 | −800 | $4.75 | −$3,800 | 687,172 | 直接 | |
| 2021/9/1 | Common Stock | S賣出處分 | −3,217 | $4.76 | −$15,312.92 | 683,955 | 直接 | |
| 2021/9/2 | Common Stock | S賣出處分 | −5,600 | $4.75 | −$26,600 | 678,355 | 直接 | |
| 2021/9/3 | Common Stock | S賣出處分 | −1,900 | $4.76 | −$9,044 | 676,455 | 直接 | |
| 2021/9/7 | Common Stock | S賣出處分 | −5,507 | $4.78 | −$26,323.46 | 670,948 | 直接 | |
| 2021/9/8 | Common Stock | S賣出處分 | −300 | $4.76 | −$1,428 | 670,648 | 直接 | |
| 2021/9/9 | Common Stock | S賣出處分 | −100 | $4.75 | −$475 | 670,548 | 直接 | |
| 2021/9/10 | Common Stock | S賣出處分 | −403 | $4.76 | −$1,918.28 | 670,145 | 直接 | |
| 2021/9/15 | Common Stock | S賣出處分 | −20,204 | $4.53 | −$91,524.12 | 649,941 | 直接 | |
| 2021/9/16 | Common Stock | S賣出處分 | −23,500 | $4.51 | −$105,985 | 626,441 | 直接 | |
| 2021/9/17 | Common Stock | S賣出處分 | −2,300 | $4.50 | −$10,350 | 624,141 | 直接 | |
| 2021/9/22 | Common Stock | S賣出處分 | −1,200 | $4.50 | −$5,400 | 622,941 | 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
To correct beneficial ownership on filing date 8/27/2021, previously recorded as 746,848 due to clerical error.
- F2
To correct beneficial ownership on filing date 8/31/2021, previously recorded as 746,048 due to clerical error.
- F3
To correct beneficial ownership on transaction date 9/1/2021, filed on 9/2/2021, previously recorded as 742,831 due to clerical error.
- F4
To correct beneficial ownership on transaction date 9/2/2021, filed on 9/2/2021, previously recorded as 737,231 due to clerical error.
- F5
To correct beneficial ownership on transaction date 9/3/2021 filed on 9/7/2021, previously recorded as 735,331 due to clerical error.
- F6
To correct beneficial ownership on transaction date 9/7/2021 and filed on 9/7/2021, previously recorded as 729,824 due to clerical error
- F7
to correct beneficial ownership on transaction date 9/8/2021, filed on 9/9/2021, previously recorded as 729,524 due to clerical error
- F8
To correct beneficial ownership on transaction date 9/9/2021, filed on 9/9/2021, previously recorded as 729,424 due to clerical error
- F9
To correct beneficial ownership on transaction date 9/10/2021, filed on 9/13/2021, previously recorded as 729,021 due to clerical error
- F10
To correct beneficial ownership on filing date 9/15/2021, filed on 9/15/2021, previously recorded as 708,817 due to clerical error
- F11
To correct beneficial ownership on transaction date 9/16/2021, filed on 9/17/2021, previously recorded as 685,317 due to clerical error
- F12
To correct beneficial ownership on transaction date 9/17/2021, filed on 9/17/2021, previously recorded as 683,017 due to clerical error
- F13
To correct beneficial ownership on transaction date 9/22/2021, filed on 9/22/2021, previously recorded as 681,817 due to clerical error
備註
This Form A is to correct the beneficial ownership amounts for file dates 8/27/21, 8/31/21, 9/2/21, 9/7/21, 9/9/21, 9/13/21, 9/15/21, 9/17/21 and 9/22/21. This clerical error was the result of an error in the filing on 8/27/21, which then also affected the subsequent filings. In addition, as a result of the corrections filed on this Form A, Leonard A. Rosenbaum's ownership is below 10%. This Form A reflects he is no longer a 10% Shareholder.