Nomura Securities International Inc 的 Form 4/A 修正申報
修正MSP Recovery, Inc.（MSPR），2022/7/26 申報
- 申報編號
- 0001140361-22-026968
- 申報時間
- 2022/7/26 16:00 ET
- 交易日
- 2022/6/1-6/23
- 申報延遲
- 55 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2022/7/14
這份申報列了 4 筆非衍生性交易、7 筆衍生性交易。沿用原件裡沒有重述的 2 筆交易。公開市場賣出合計 $2.60 萬。交易後 55 天申報。
這份修正申報重述了 0001140361-22-026013（2022/7/14 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 |
|---|---|
| Nomura Securities International IncCIK 0000902266 | 持股 10% 以上大股東 |
| Nomura Holdings IncCIK 0001163653 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/6/2 | Class A Common Stock | S賣出處分 | −1,370 | $1.28 | −$1,753.6 | 302,499 | 直接 | |
| 2022/6/16 | Class A Common Stock | X行使價內選擇權取得 | +50,000 | $0.0001 | +$5 | 352,499 | 直接 | |
| 2022/6/16 | Class A Common Stock | S賣出處分 | −5 | $0.0001 | $0 | 352,494 | 直接 | |
| 2022/6/23 | Class A Common Stock | S賣出處分 | −9,995 | $2.43 | −$24,287.85 | 342,499 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/6/1 | Class A Common Stock | S賣出處分 | −75,000 | $0.9075F4 | −$68,062.5 | 202,500 | 直接 | |
| 2022/6/2 | Class A Common Stock | S賣出處分 | −25,000 | $1.10F5 | −$27,500 | 177,500 | 直接 | |
| 2022/6/7 | Class A Common Stock | S賣出處分 | −24,700 | $1.13F6 | −$27,938.17 | 152,800 | 直接 | |
| 2022/6/8 | Class A Common Stock | S賣出處分 | −13,957 | $1.17F7 | −$16,357.6 | 138,843 | 直接 | |
| 2022/6/10 | Class A Common Stock | S賣出處分 | −39,906 | $1.08F8 | −$43,110.45 | 98,937 | 直接 | |
| 2022/6/14 | Class A Common Stock | S賣出處分 | −21,437 | $1.28F9 | −$27,443.65 | 77,500 | 直接 | |
| 2022/6/16 | Class A Common Stock | X行使價內選擇權處分 | −50,000 | $0.00 | $0 | 27,500 | 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 0001140361-22-026013（2022/7/14 申報）。
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 |
|---|---|---|---|---|---|---|---|---|
| 2022/6/6 | Class A Common Stock | S賣出處分 | −14 | $0.075 | −$1.05 | 16,386,646 | 直接 | |
| 2022/6/10 | Class A Common Stock | S賣出處分 | −61,646 | $0.062 | −$3,822.05 | 16,325,000 | 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
These securities are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.
- F2
Represents shares withheld in connection with a cashless exercise of warrants to purchase 50,000 shares of Common Stock at an exercise price of $0.0001 per share.
- F3
Unless earlier redeemed by the Issuer.
- F4
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $0.85 to $1.02, inclusive. The Reporting Persons undertake 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 warrants sold at each separate price within the range set forth herein.
表 II 有 1 筆交易的價格引用這則附註。
- F5
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.1 to $1.11, inclusive. The Reporting Persons undertake 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 warrants sold at each separate price within the range set forth herein.
表 II 有 1 筆交易的價格引用這則附註。
- F6
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.13 to $1.14, inclusive. The Reporting Persons undertake 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 warrants sold at each separate price within the range set forth herein.
表 II 有 1 筆交易的價格引用這則附註。
- F7
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.17 to $1.19, inclusive. The Reporting Persons undertake 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 warrants sold at each separate price within the range set forth herein.
表 II 有 1 筆交易的價格引用這則附註。
- F8
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.08 to $1.1, inclusive. The Reporting Persons undertake 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 warrants sold at each separate price within the range set forth herein.
表 II 有 1 筆交易的價格引用這則附註。
- F9
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.28 to $1.29, inclusive. The Reporting Persons undertake 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 warrants sold at each separate price within the range set forth herein.
表 II 有 1 筆交易的價格引用這則附註。
- F10
This Form 4 amendment is being filed to (1) correct the total number of shares of Class A Common Stock beneficially owned by the Reporting Persons following each transaction reported herein, by adding 164,999 shares that were inadvertently omitted from the original Form 4, and (2) correct the Date Exercisable for the reported Warrants with a $0.0001 strike price.