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Soderstrom Carl D 的 Form 4 申報

Mobia Medical, Inc.（MOBI），2026/6/29 申報

申報編號
0001193125-26-288996
申報時間
2026/6/29 20:05 ET
交易日
2026/5/11
申報延遲
49 天遲報
10b5-1 計畫
沒有勾選

這份申報列了 14 筆非衍生性交易、14 筆衍生性交易。交易後 49 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。

這份申報的申報人
申報人與公司的關係
Soderstrom Carl DCIK 0001598985持股 10% 以上大股東
Heighten Clay MCIK 0001599114持股 10% 以上大股東
Green Park & Golf Ventures II, LLCCIK 0001782733持股 10% 以上大股東
Garcia Gilbert G. IICIK 0001814289持股 10% 以上大股東
GPG Healthcare Opportunities Fund, LLCCIK 0002136724持股 10% 以上大股東
GPG Dais, LLCCIK 0002136739持股 10% 以上大股東
GPG GR, LLCCIK 0002136743持股 10% 以上大股東
GPG Healthcare Opportunities Fund II, LLCCIK 0002136744持股 10% 以上大股東
GPG Charles & Potomac, LLCCIK 0002136779持股 10% 以上大股東
GPG BFH, LLCCIK 0002136791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。

非衍生性證券的交易
交易日證券交易股數價格金額交易後持股持有方式旗標
2026/5/11Common StockC轉換取得+11,139–F1–11,139間接
2026/5/11Common StockC轉換取得+29,704–F1–29,704間接
2026/5/11Common StockC轉換取得+21,819–F1–51,523間接
2026/5/11Common StockC轉換取得+10,000–F4–61,523間接
2026/5/11Common StockC轉換取得+22,278–F1–22,278間接
2026/5/11Common StockC轉換取得+10,909–F1–33,187間接
2026/5/11Common StockC轉換取得+8,500–F4–41,687間接
2026/5/11Common StockC轉換取得+141,054–F1–141,054間接
2026/5/11Common StockC轉換取得+96,540–F1–96,540間接
2026/5/11Common StockC轉換取得+112,843–F1–209,383間接
2026/5/11Common StockC轉換取得+108,005–F1–317,388間接
2026/5/11Common StockC轉換取得+33,333–F4–350,721間接
2026/5/11Common StockC轉換取得+68,044–F1–68,044間接
2026/5/11Common StockC轉換取得+200,202–F1–268,246間接

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。

衍生性證券的交易
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
2026/5/11Common StockC轉換處分−11,139–F1–0間接
2026/5/11Common StockC轉換處分−29,704–F1–0間接
2026/5/11Common StockC轉換處分−21,819–F1–0間接
2026/5/11Common StockC轉換處分−10,000–F4–0間接
2026/5/11Common StockC轉換處分−22,278–F1–0間接
2026/5/11Common StockC轉換處分−10,909–F1–0間接
2026/5/11Common StockC轉換處分−8,500–F4–0間接
2026/5/11Common StockC轉換處分−141,054–F1–0間接
2026/5/11Common StockC轉換處分−96,540–F1–0間接
2026/5/11Common StockC轉換處分−112,843–F1–0間接
2026/5/11Common StockC轉換處分−108,005–F1–0間接
2026/5/11Common StockC轉換處分−33,333–F4–0間接
2026/5/11Common StockC轉換處分−68,044–F1–0間接
2026/5/11Common StockC轉換處分−200,202–F1–0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。

F1

Each share of Series D Preferred Stock, Series F Preferred Stock, Series E-1 Preferred Stock and Series E-2 Preferred Stock converted into Common Stock immediately prior to the completion of the Issuer's initial public offering (the "Offering") pursuant to its terms.

表 I 有 11 筆、表 II 有 11 筆交易的價格引用這則附註。

F4

The Convertible Notes automatically converted into Common Stock immediately prior to the closing of the Offering. The conversion price is the lower of (a) 80% of the Offering price per share and (b) the valuation of the Issuer immediately prior to the closing of the Offering divided by the number of fully diluted shares of capital stock (on an as-converted basis) outstanding immediately prior to Offering, excluding the Convertible Notes.

表 I 有 3 筆、表 II 有 3 筆交易的價格引用這則附註。

備註

This Form 4 is the first of five Forms 4 filed relating to the same event. Combined, the five Forms 4 report the holdings for the following reporting persons: Green Park & Golf Ventures II, LLC, Clay M. Heighten, MD, Carl D. Soderstrom, Gilbert G. Garcia II, GPG BFH, LLC, GPG Charles & Potomac, LLC, GPG Dais, LLC, GPG GR, LLC, GPG Healthcare Opportunities Fund II, LLC, GPG Healthcare Opportunities Fund, LLC, GPG JCT, LLC, GPG MTI 22, LLC, GPG MTI 25, LLC, GPG MOBI, LLC, GPG MTI 3-17 Investment, LLC, GPG PHL, LLC, GPG RM Investment, LLC, GPG SC, LLC, GPG WG, LLC, GPG MTIF, LLC, Micro TI Investment 2, LLC, Micro TI Investment, LLC, MTI 20 Investment, LLC, MTI 2015 Investment, LLC, HTX MCT1 0320 Investment, LLC, HTX MCT2 0221 Investment, LLC, HTX MCT3 0322 Investment, LLC, HTX MCT4 0226 Investment, LLC and Green Park & Golf Ventures - Houston, LLC. The Form 4 has been split into five filings because there are more than 10 reporting persons in total, and the SEC's EDGAR filing system limits a single Form 4 to a maximum of 10 reporting persons.

看 SEC EDGAR 上的完整原文 （在新分頁開啟）