Smits Steve 的 Form 4 申報
Live Oak Bancshares, Inc.（LOB），2021/11/12 申報
- 申報編號
- 0001209191-21-064297
- 申報時間
- 2021/11/12
- 交易日
- 2021/11/10-11/11
- 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 8 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $187.5 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 |
|---|---|
| Smits SteveCIK 0001648958 | 高階主管（授信長） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/10 | Voting Common Stock | M行使選擇權取得 | +21,500 | $4.40 | +$94,600 | 160,875.98 | 直接 | |
| 2021/11/10 | Voting Common Stock | F扣股繳稅處分 | −1,006 | $93.89F1 | −$94,453.34 | 159,869.98 | 直接 | |
| 2021/11/10 | Voting Common Stock | M行使選擇權取得 | +14,999 | $10.63 | +$159,439.37 | 174,868.98 | 直接 | |
| 2021/11/10 | Voting Common Stock | F扣股繳稅處分 | −2,595 | $93.89F2 | −$243,644.55 | 172,273.98 | 直接 | |
| 2021/11/10 | Voting Common Stock | M行使選擇權取得 | +22,498 | $17.00 | +$382,466 | 194,771.98 | 直接 | |
| 2021/11/10 | Voting Common Stock | F扣股繳稅處分 | −7,805 | $93.89F3 | −$732,811.45 | 186,966.98 | 直接 | |
| 2021/11/11 | Voting Common Stock | S賣出處分 | −17,801 | $93.71F4 | −$1,668,131.71 | 169,165.98 | 直接 | |
| 2021/11/11 | Voting Common Stock | S賣出處分 | −2,199 | $94.27F5 | −$207,299.73 | 166,966.98 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/10 | Voting Common Stock | M行使選擇權處分 | −21,500 | $0.00 | $0 | 0 | 直接 | |
| 2021/11/10 | Voting Common Stock | M行使選擇權處分 | −14,999 | $0.00 | $0 | 5,001 | 直接 | |
| 2021/11/10 | Voting Common Stock | M行使選擇權處分 | −22,498 | $0.00 | $0 | 7,502 | 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
Reflects the exercise of a Live Oak Bancshares, Inc. (the "Company") employee stock option for a total of 21,500 shares by means of a stock swap. A stock swap is a method of exercising a stock option in which the option holder relinquishes enough shares of stock to cover the exercise price of the option being exercised and any applicable related withholding taxes. The price of $93.89 in column 4 is the closing price of the Company's voting common stock as of November 10, 2021.
表 I 有 1 筆交易的價格引用這則附註。
- F2
Reflects the exercise of a Company employee stock option for a total of 14,999 shares by means of a stock swap. See Note 1 for additional information.
表 I 有 1 筆交易的價格引用這則附註。
- F3
Reflects the exercise of a Company employee stock option for a total of 22,498 shares by means of a stock swap. See Note 1 for additional information.
表 I 有 1 筆交易的價格引用這則附註。
- F4
This transaction was executed in multiple trades at prices ranging from $93.11 to $94.10. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
表 I 有 1 筆交易的價格引用這則附註。
- F5
This transaction was executed in multiple trades at prices ranging from $94.105 to $94.53. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
表 I 有 1 筆交易的價格引用這則附註。