Kerins Patrick J 的 Form 4 申報
Minerva Surgical Inc（UTRS），2021/10/28 申報
- 申報編號
- 0001209191-21-061994
- 申報時間
- 2021/10/28 21:05 ET
- 交易日
- 2021/10/26
- 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、16 筆衍生性交易。公開市場買進合計 $1,560 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 |
|---|---|
| Kerins Patrick JCIK 0001235112 | 持股 10% 以上大股東 |
| Sandell Scott DCIK 0001237289 | 持股 10% 以上大股東 |
| Baskett ForestCIK 0001277631 | 持股 10% 以上大股東 |
| New Enterprise Associates 13 LPCIK 0001452907 | 持股 10% 以上大股東 |
| NEA 13 GP, LtdCIK 0001460751 | 持股 10% 以上大股東 |
| NEA Partners 13, Limited PartnershipCIK 0001460752 | 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。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/10/26 | Common Stock | C轉換取得 | +596,183 | –F1 | – | 596,183 | 直接 | |
| 2021/10/26 | Common Stock | C轉換取得 | +1,190,212 | –F1 | – | 1,786,395 | 直接 | |
| 2021/10/26 | Common Stock | C轉換取得 | +3,409,709 | –F1 | – | 5,196,104 | 直接 | |
| 2021/10/26 | Common Stock | C轉換取得 | +3,503,021 | –F1 | – | 8,699,125 | 直接 | |
| 2021/10/26 | Common Stock | P買進取得 | +1,300,000 | $12.00 | +$15,600,000 | 9,999,125 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/10/26 | Common Stock | C轉換處分 | −596,183 | –F1 | – | 0 | 直接 | |
| 2021/10/26 | Common Stock | C轉換處分 | −1,190,212 | –F1 | – | 0 | 直接 | |
| 2021/10/26 | Common Stock | C轉換處分 | −3,409,709 | –F1 | – | 0 | 直接 | |
| 2021/10/26 | Series D Preferred Stock | C轉換處分 | −553,449 | –F3 | – | 0 | 直接 | |
| 2021/10/26 | Series D Preferred Stock | C轉換處分 | −532,334 | –F4 | – | 0 | 直接 | |
| 2021/10/26 | Series D Preferred Stock | C轉換處分 | −517,593 | –F5 | – | 0 | 直接 | |
| 2021/10/26 | Series D Preferred Stock | C轉換處分 | −503,146 | –F6 | – | 0 | 直接 | |
| 2021/10/26 | Series D Preferred Stock | C轉換處分 | −546,012 | –F7 | – | 0 | 直接 | |
| 2021/10/26 | Series D Preferred Stock | C轉換處分 | −850,492 | –F8 | – | 0 | 直接 | |
| 2021/10/26 | Common Stock | C轉換取得 | +553,449 | –F1 | – | 553,449 | 直接 | |
| 2021/10/26 | Common Stock | C轉換取得 | +532,333 | –F1 | – | 1,085,782 | 直接 | |
| 2021/10/26 | Common Stock | C轉換取得 | +517,592 | –F1 | – | 1,603,374 | 直接 | |
| 2021/10/26 | Common Stock | C轉換取得 | +503,145 | –F1 | – | 2,106,519 | 直接 | |
| 2021/10/26 | Common Stock | C轉換取得 | +546,011 | –F1 | – | 2,652,530 | 直接 | |
| 2021/10/26 | Common Stock | C轉換取得 | +850,491 | –F1 | – | 3,503,021 | 直接 | |
| 2021/10/26 | Common Stock | C轉換處分 | −3,503,021 | –F1 | – | 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
The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
表 I 有 4 筆、表 II 有 10 筆交易的價格引用這則附註。
- F3
Represents $6,257,308.36 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602.
表 II 有 1 筆交易的價格引用這則附註。
- F4
Represents $6,018,574.40 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602.
表 II 有 1 筆交易的價格引用這則附註。
- F5
Represents $5,851,915.34 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602.
表 II 有 1 筆交易的價格引用這則附註。
- F6
Represents $5,688,578.14 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602.
表 II 有 1 筆交易的價格引用這則附註。
- F7
Represents $6,173,219.88 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602.
表 II 有 1 筆交易的價格引用這則附註。
- F8
Represents $9,615,676.10 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602.
表 II 有 1 筆交易的價格引用這則附註。