Warner Nicholas 的 Form 4 申報
SentinelOne, Inc.（S），2021/9/30 申報
- 申報編號
- 0001209191-21-058292
- 申報時間
- 2021/9/30
- 交易日
- 2021/9/28
- 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 5 筆非衍生性交易、4 筆衍生性交易。公開市場賣出合計 $2,091 萬。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 |
|---|---|
| Warner NicholasCIK 0001866377 | 高階主管（營運長） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2021/9/28 | Class A Common Stock | C轉換取得 | +352,644 | –F1,F2 | – | 352,644 | 直接 | |
| 2021/9/28 | Class A Common Stock | C轉換取得 | +26,851 | $0.65 | +$17,453.15 | 379,495 | 直接 | |
| 2021/9/28 | Class A Common Stock | S賣出處分 | −157,053 | $54.63F5 | −$8,579,805.39 | 222,442 | 直接 | |
| 2021/9/28 | Class A Common Stock | S賣出處分 | −199,046 | $55.33F6 | −$11,013,215.18 | 23,396 | 直接 | |
| 2021/9/28 | Class A Common Stock | S賣出處分 | −23,396 | $56.19F7 | −$1,314,621.24 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/9/28 | Class A Common Stock | C轉換處分 | −352,644 | $0.00 | $0 | 154,639 | 直接 | |
| 2021/9/28 | Class B Common Stock | M行使選擇權處分 | −26,851 | $0.00 | $0 | 1,021,543 | 直接 | |
| 2021/9/28 | Class A Common Stock | M行使選擇權取得 | +26,851 | $0.00 | $0 | 26,851 | 直接 | |
| 2021/9/28 | Class A Common Stock | C轉換處分 | −26,851 | $0.00 | $0 | 0 | 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
Each share of Class B common stock is convertible into one share of Class A common stock at any time and will convert automatically upon certain transfers and upon the earlier of (i) the date specified by a vote of the holders of 66 2/3% of the then outstanding shares of Class B common stock, (ii) seven years from the effective date of the Issuer's initial public offering ("IPO"), (iii) the first date following the IPO on which the number of shares of outstanding Class B common stock (including shares of Class B common stock subject to outstanding stock options) held by Tomer Weingarten, including certain entities that Mr. Weingarten controls, is less than 25% of the number of shares of Class B common stock (including shares of Class B common stock subject to outstanding stock options) that Mr. Weingarten originally held as of the date of the IPO,
表 I 有 1 筆交易的價格引用這則附註。
- F2
(continued from footnote 1) (iv) the date fixed by the Issuer's board of directors (the "Board"), following the first date following the completion of this offering when Mr. Weingarten is no longer providing services to the Issuer as an officer, employee, consultant or member of the Board, (v) the date fixed by the Board following the date, if applicable, on which Mr. Weingarten is terminated for cause, as defined in the Issuer's restated certificate of incorporation, and (vi) the date that is 12 months after the death or disability, as defined in the Issuer's restated certificate of incorporation, of Mr. Weingarten.
表 I 有 1 筆交易的價格引用這則附註。
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.94 to $54.93, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.
表 I 有 1 筆交易的價格引用這則附註。
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.94 to $55.93, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.94 to $56.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.
表 I 有 1 筆交易的價格引用這則附註。