Cowen And Company, LLC 的 Form 4 申報
Progress Acquisition Corp.，2023/5/15 申報
- 申報編號
- 0001140361-23-024821
- 申報時間
- 2023/5/15 17:49 ET
- 交易日
- 2022/11/3-2023/5/9
- 申報延遲
- 193 天遲報
- 10b5-1 計畫
- 沒有勾選
這份申報列了 11 筆非衍生性交易。公開市場買進合計 $1.00 萬。公開市場賣出合計 $16.3 萬。交易後 193 天才申報，超過 2 個營業日的期限。
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 |
|---|---|
| Cowen And Company, LLCCIK 0000048966 | 持股 10% 以上大股東 |
| Cowen Holdings, Inc.CIK 0001355007 | 持股 10% 以上大股東 |
| Cowen Inc.CIK 0001466538 | 持股 10% 以上大股東 |
| RCG LV Pearl LLCCIK 0001613404 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/11/3 | Class A Common Stock | S賣出處分 | −11,885 | $10.10F4 | −$120,056.33 | 103,299 | 間接 | |
| 2022/11/4 | Class A Common Stock | S賣出處分 | −3,299 | $10.07F5 | −$33,231.82 | 100,000 | 間接 | |
| 2023/2/6 | Class A Common Stock | S賣出處分 | −75 | $10.37 | −$777.75 | 99,925 | 間接 | |
| 2023/2/8 | Class A Common Stock | S賣出處分 | −100 | $10.37 | −$1,037 | 99,825 | 間接 | |
| 2023/2/9 | Class A Common Stock | S賣出處分 | −400 | $10.35 | −$4,140 | 99,425 | 間接 | |
| 2023/2/13 | Class A Common Stock | S賣出處分 | −100 | $10.35 | −$1,035 | 99,325 | 間接 | |
| 2023/2/22 | Class A Common Stock | S賣出處分 | −100 | $10.33 | −$1,033 | 99,225 | 間接 | |
| 2023/2/24 | Class A Common Stock | S賣出處分 | −100 | $10.35 | −$1,035 | 99,125 | 間接 | |
| 2023/3/3 | Class A Common Stock | S賣出處分 | −75 | $10.39 | −$779.25 | 99,050 | 間接 | |
| 2023/3/24 | Class A Common Stock | P買進取得 | +950 | $10.55F6 | +$10,018.61 | 100,000 | 間接 | |
| 2023/5/9 | Class A Common Stock | J其他處分 | −100,000 | $10.29F7 | −$1,029,000 | 0 | 間接 |
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。
- F4
The transaction was executed in multiple trades in prices ranging from $10.10 to $10.12, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Persons hereby undertake to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective 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 transaction was executed in multiple trades in prices ranging from $10.07 to $10.08, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Persons hereby undertake to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective 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。
- F6
The transaction was executed in multiple trades in prices ranging from $10.54 to $10.55, inclusive. The price reported in Column 4 above reflects the weighted average purchase price. The Reporting Persons hereby undertake to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares purchased at each respective 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。
- F7
In connection with the dissolution and liquidation of the Issuer and in accordance with its Amended and Restated Certificate of Incorporation, as amended, the Issuer will be redeeming all of the outstanding shares of its Class A Common Stock that were included in the units issued in its initial public offering, including the 100,000 shares held by Cowen and Company. The redemption price is currently being calculated, which the Issuer has estimated to be approximately $10.29 per share. The Reporting Persons will file an amendment to this Form 4 after the final liquidation date to disclose the final redemption price if it is materially different from the estimated redemption price reported herein.
表 I 有 1 筆交易的價格引用這則附註。