Nisan Fredi 的 Form 4/A 修正申報
修正RTB Digital, Inc.（RTB），2023/5/30 申報
- 申報編號
- 0001185185-23-000588
- 申報時間
- 2023/5/30 16:45 ET
- 交易日
- 2020/11/4-2022/6/16
- 申報延遲
- 937 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2020/12/28
這份申報列了 30 筆非衍生性交易、4 筆衍生性交易。公開市場買進合計 $3.23 萬。公開市場賣出合計 $14.1 萬。交易後 937 天申報。
這份申報後來被修正申報 0001185185-23-000589（2023/5/30）取代，網站的交易表改用修正後的版本。
這份修正申報取代了 0001185185-21-001059（2021/8/4 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 |
|---|---|
| Nisan FrediCIK 0001826364 | 董事、高階主管（執行長） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2020/11/4 | Common Stock par value $0.001 | M行使選擇權取得 | +500,000 | $0.065 | +$32,500 | 125,235,244 | 直接 | |
| 2020/11/4 | Common Stock par value $0.001 | F扣股繳稅處分 | −52,420 | $0.065 | −$3,407.3 | 125,182,824 | 直接 | |
| 2020/11/13 | Common Stock par value $0.001 | S賣出處分 | −250,000 | $0.30 | −$75,000 | 124,932,824 | 直接 | |
| 2020/12/22 | Common Stock par value $0.001 | S賣出取得 | +74,627 | $0.70 | +$52,238.9 | 125,358,197 | 直接 | |
| 2021/2/12 | Common Stock par value $0.001 | D交回公司取得 | +1,800,000 | $2.33 | +$4,194,000 | 123,558,197 | 間接 | |
| 2021/3/15 | Common Stock par value $0.001 | A公司授予取得 | +389 | $12.84 | +$4,994.76 | 20,593,422 | 直接 | |
| 2021/4/15 | Common Stock par value $0.001 | A公司授予取得 | +495 | $10.10 | +$4,999.5 | 20,593,917 | 直接 | |
| 2021/5/15 | Common Stock par value $0.001 | A公司授予取得 | +542 | $9.22 | +$4,997.24 | 20,594,459 | 直接 | |
| 2021/5/21 | Common Stock par value $0.001 | S賣出取得 | +20,062 | $0.70 | +$14,043.4 | 20,577,402 | 直接 | |
| 2021/6/15 | Common Stock par value $0.001 | A公司授予取得 | +343 | $14.60 | +$5,007.8 | 20,577,745 | 直接 | |
| 2021/7/15 | Common Stock par value $0.001 | A公司授予取得 | +482 | $10.37 | +$4,998.34 | 20,578,227 | 直接 | |
| 2021/8/16 | Common Stock par value $0.001 | A公司授予取得 | +647 | $7.73 | +$5,001.31 | 20,578,874 | 直接 | |
| 2021/8/26 | Common Stock par value $0.001 | P買進取得 | +280 | $8.67 | +$2,427.6 | 20,579,154 | 直接 | |
| 2021/8/26 | Common Stock par value $0.001 | P買進取得 | +837 | $8.75 | +$7,323.75 | 20,579,991 | 直接 | |
| 2021/8/26 | Common Stock par value $0.001 | P買進取得 | +971 | $8.75 | +$8,496.25 | 20,580,962 | 直接 | |
| 2021/8/26 | Common Stock par value $0.001 | P買進取得 | +192 | $8.75 | +$1,680 | 20,581,154 | 直接 | |
| 2021/9/1 | Common Stock par value $0.001 | P買進取得 | +7 | $9.47 | +$66.29 | 20,581,161 | 直接 | |
| 2021/9/15 | Common Stock par value $0.001 | A公司授予取得 | +496 | $10.09 | +$5,004.64 | 20,581,657 | 直接 | |
| 2021/10/15 | Common Stock par value $0.001 | A公司授予取得 | +659 | $7.59 | +$5,001.81 | 20,582,316 | 直接 | |
| 2021/11/24 | Common Stock par value $0.001 | D交回公司取得 | +1,000,000 | $5.59 | +$5,590,000 | 19,582,316 | 間接 | |
| 2022/1/20 | Common Stock par value $0.001 | A公司授予取得 | +758 | $6.60 | +$5,002.8 | 19,583,074 | 直接 | |
| 2022/1/20 | Common Stock par value $0.001 | A公司授予取得 | +1,008 | $4.96 | +$4,999.68 | 19,584,082 | 直接 | |
| 2022/1/27 | Common Stock par value $0.001 | A公司授予取得 | +3,513 | $4.27 | +$15,000.51 | 19,587,595 | 直接 | |
| 2022/3/15 | Common Stock par value $0.001 | A公司授予取得 | +1,481 | $2.43 | +$3,598.83 | 19,589,076 | 直接 | |
| 2022/4/27 | Common Stock par value $0.001 | A公司授予取得 | +3,354 | $3.40 | +$11,403.6 | 19,600,614 | 直接 | |
| 2022/5/23 | Common Stock par value $0.001 | P買進取得 | +4,800 | $2.05 | +$9,840 | 19,605,414 | 直接 | |
| 2022/6/13 | Common Stock par value $0.001 | P買進取得 | +80 | $1.99 | +$159.2 | 19,605,494 | 直接 | |
| 2022/6/16 | Common Stock par value $0.001 | P買進取得 | +600 | $1.43 | +$858 | 19,606,094 | 直接 | |
| 2022/6/16 | Common Stock par value $0.001 | P買進取得 | +600 | $1.43 | +$858 | 19,606,694 | 直接 | |
| 2022/6/16 | Common Stock par value $0.001 | P買進取得 | +400 | $1.43 | +$572 | 19,607,094 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2020/11/4 | Common Stock, par value $0.001 | M行使選擇權處分 | −500,000 | $0.00 | $0 | 0 | 直接 | |
| 2020/12/1 | Common Stock, par value $0.001 | A公司授予取得 | +500,000 | $0.00 | $0 | 500,000 | 直接 | |
| 2021/6/2 | Common Stock, par value $0.001 | A公司授予取得 | +3,005 | $0.00 | $0 | 86,338 | 直接 | |
| 2022/4/13 | Common Stock, par value $0.001 | A公司授予取得 | +8,184 | $0.00 | $0 | 94,522 | 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
Mr. Nisan did a cashless exercise of his 500,000 stock options granted on 6/24/2020, 52,420 of which were used to pay the exercise price.
- F2
The reporting party indirectly sold 1.8 million shares to RYVYL Inc. with a purchase price based on the value of the shares as of the date on which the transaction was agreed.
- F3
The reporting person serves as a managing member of GreenBox POS LLC.
- F4
The Company effected a reverse stock split of 1:6 on February 17, 2021. As a result, Mr. Nisan's 123,558,197 shares of common stock became 20,593,033 shares of common stock.
- F5
The Company effected a reverse stock split of 1:6 on February 17, 2021. As a result, Mr. Nisan's 500,000 stock options became 83,333 stock options.
- F6
Mr. Nisan earns $5,000 worth of shares of Common stock monthly as compensation for serving as a Director of the Company, issuable on the 15th day of each month calculated based on the closing price of our Common Stock on that date or the next trading day.
- F7
The reporting person indirectly sold one million shares to RYVYL Inc. with a purchase price based on the value of the shares as of the date on which the transaction was agreed.
- F8
Mr. Nisan earns $5,000 worth of shares of Common stock monthly as compensation for serving as a Director of the Company, issuable on the 15th day of the first month of each quarter in the number based on the closing price of our Common Stock on that date or the next trading day. The issuances for November 2021 and December 2021 were delayed.
- F9
The Board of Directors of the Company granted Mr. Nisan 3,513 shares of Common Stock pursuant to the Company's 2021 Restricted Stock Plan as compensation for serving as a Director of the Company during Q1 2022, whereby 1/3 of the shares granted vest immediately upon issuance, an additional 1/3 of the shares shall vest each month thereafter, and all shares vest fully on March 15, 2022.
- F10
Mr. Nisan earns $5,000 worth of shares of Common stock monthly as compensation for serving as a Director of the Company based on the closing price of our Common Stock on that date or the next trading day. The Board of Directors of the Company granted shares valued at $3,600 in a March issuance that will be applied against Q2 issuances.
- F11
Mr. Nisan earns $5,000 worth of shares of Common stock monthly as compensation for serving as a Director of the Company, issuable on the 15th day of the first month of each quarter calculated based on the closing price of our Common Stock on that date or the next trading day, whereby 1/3 of the shares granted shall vest 6 months after issuance and an additional 1/3 of the shares shall vest each month thereafter.
備註
See continuance of amended transactions on Form 4 filed on the same day.