Deerfield Management Company, L.P. 的 Form 4 申報
Nuvalent, Inc.（NUVL），2021/8/4 申報
- 申報編號
- 0001193805-21-001101
- 申報時間
- 2021/8/4 18:05 ET
- 交易日
- 2021/8/2
- 申報延遲
- 2 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 4 筆非衍生性交易、10 筆衍生性交易。交易後 2 天申報。
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 |
|---|---|
| Deerfield Management Company, L.P.CIK 0001009258 | 董事、持股 10% 以上大股東、其他：Director by Deputization |
| Flynn James ECIK 0001352546 | 董事、持股 10% 以上大股東、其他：Director by Deputization |
| Deerfield Healthcare Innovations Fund, L.P.CIK 0001646981 | 董事、持股 10% 以上大股東、其他：Director by Deputization |
| Deerfield Mgmt HIF, L.P.CIK 0001665736 | 董事、持股 10% 以上大股東、其他：Director by Deputization |
| Deerfield Private Design Fund IV, L.P.CIK 0001680307 | 董事、持股 10% 以上大股東、其他：Director by Deputization |
| Deerfield Mgmt IV, L.P.CIK 0001713467 | 董事、持股 10% 以上大股東、其他：Director by Deputization |
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。
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 |
|---|---|---|---|---|---|---|---|---|
| 2021/8/2 | Class A Common Stock | C轉換處分 | −8,494,140 | –F1 | – | 13,011,988 | 間接 | |
| 2021/8/2 | Class A Common Stock | C轉換處分 | −8,494,140 | –F1 | – | 13,011,988 | 間接 | |
| 2021/8/2 | Class B Common Stock | C轉換處分 | −2,417,628 | –F1 | – | 0 | 間接 | |
| 2021/8/2 | Class B Common Stock | C轉換處分 | −2,417,628 | –F1 | – | 0 | 間接 | |
| 2021/8/2 | Class A Common Stock | C轉換處分 | −897,671 | –F2 | – | 0 | 間接 | |
| 2021/8/2 | Class A Common Stock | C轉換處分 | −897,671 | –F2 | – | 0 | 間接 | |
| 2021/8/2 | Class A Common Stock | C轉換取得 | +2,417,628 | –F1 | – | 2,417,628 | 間接 | |
| 2021/8/2 | Class A Common Stock | C轉換取得 | +2,417,628 | –F1 | – | 2,417,628 | 間接 | |
| 2021/8/2 | Class A Common Stock | P買進取得 | +300,000 | $17.00 | +$5,100,000 | 2,717,628 | 間接 | |
| 2021/8/2 | Class A Common Stock | P買進取得 | +300,000 | $17.00 | +$5,100,000 | 2,717,628 | 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
Upon the closing of the Issuer's initial public offering, each share of Series A Preferred Stock held by each Fund (as defined below) automatically converted into either (i) approximately 0.18580 shares of the Issuer's Class A common stock or (ii) at the election of such Fund, approximately 0.18580 shares of the Issuer's Class B common stock. Each Fund elected to have 2,417,628 shares of common stock issuable to such Fund upon conversion of its Series A Preferred Stock issued in the form of Class B common stock.
表 I 有 2 筆、表 II 有 6 筆交易的價格引用這則附註。
- F2
Upon the closing of the Issuer's initial public offering, each share of Series B Preferred Stock held by each Fund automatically converted into approximately 0.18580 shares of the Issuer's Class A common stock.
表 I 有 2 筆、表 II 有 2 筆交易的價格引用這則附註。
備註
Each of Cameron Wheeler, a partner in Deerfield Management, and Joseph Pearlberg, an employee of Deerfield Management, serves as a director of the Issuer. Jonathan Isler, Attorney-in-Fact: Power of Attorney, which is hereby incorporated by reference to Exhibit 24 to a Form 4 with regard to DA32 Life Science Tech Acquisition Corp. filed with the Securities and Exchange Commission on August 3, 2021 by Deerfield Partners, L.P., Deerfield Mgmt, L.P., Deerfield Management Company, L.P. and James E. Flynn.