Deerfield Management Company, L.P. 的 Form 4 申報
Starling Oncology, Inc.（DFPH），2021/11/16 申報
- 申報編號
- 0001193805-21-001590
- 申報時間
- 2021/11/16 21:34 ET
- 交易日
- 2021/11/12
- 申報延遲
- 4 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 2 筆非衍生性交易、9 筆衍生性交易。交易後 4 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 | 持股 10% 以上大股東、其他：Possible Members of 10% Group |
| Deerfield Mgmt L.P.CIK 0001010823 | 持股 10% 以上大股東、其他：Possible Members of 10% Group |
| Deerfield Partners, L.P.CIK 0001301041 | 持股 10% 以上大股東、其他：Possible Members of 10% Group |
| Flynn James ECIK 0001352546 | 持股 10% 以上大股東、其他：Possible Members of 10% Group |
| Deerfield Private Design Fund IV, L.P.CIK 0001680307 | 持股 10% 以上大股東、其他：Possible Members of 10% Group |
| Deerfield Mgmt IV, L.P.CIK 0001713467 | 持股 10% 以上大股東、其他：Possible Members of 10% Group |
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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/12 | Class A Common Stock | P買進取得 | +5,000,000 | $1,000.00 | +$50,000,000 | 58,945 | 間接 | |
| 2021/11/12 | Class A Common Stock | P買進取得 | +5,000,000 | $1,000.00 | +$50,000,000 | 58,945 | 間接 | |
| 2021/11/12 | Class A Common Stock | J其他處分 | −707,960 | $0.00 | $0 | 40 | 間接 | |
| 2021/11/12 | Class A Common Stock | J其他處分 | −14,887 | $0.00 | $0 | 85,113 | 間接 | |
| 2021/11/12 | Class A Common Stock | C轉換處分 | −40 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/12 | Class A Common Stock | C轉換處分 | −85,113 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/12 | Class A Common Stock | J其他取得 | +3,177,543 | –F8 | – | 3,177,543 | 間接 | |
| 2021/11/12 | Class A Common Stock | J其他取得 | +625,000 | –F9 | – | 625,000 | 間接 | |
| 2021/11/12 | Class A Common Stock | J其他取得 | +625,000 | –F9 | – | 625,000 | 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 business combination, each share of Class B Common Stock converted (automatically in accordance with its terms) into one share of Class A Common Stock for no consideration.
表 I 有 2 筆交易的價格引用這則附註。
- F8
The Sponsor acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Business Combination, the Private Placement Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Private Placement Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, the Sponsor elected to be governed by a Maximum Percentage (as defined in the Private Placement Warrants) of 4.9%.
表 II 有 1 筆交易的價格引用這則附註。
- F9
Each Fund acquired the Public Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Issuer's initial business combination, the Public Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Public Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, each fund elected to be governed by a Maximum Percentage (as defined in the Public Warrants) of 4.9%.
表 II 有 2 筆交易的價格引用這則附註。
備註
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