Battery Management Corp. 的 Form 4 申報
Braze, Inc.（BRZE），2021/11/23 申報
- 申報編號
- 0001209191-21-066498
- 申報時間
- 2021/11/23 16:53 ET
- 交易日
- 2021/11/19
- 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 11 筆非衍生性交易、23 筆衍生性交易。公開市場買進合計 $2,113 萬。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 |
|---|---|
| Battery Management Corp.CIK 0001548594 | 持股 10% 以上大股東 |
| Battery Ventures XI-B Side Fund, L.P.CIK 0001665599 | 持股 10% 以上大股東 |
| Battery Ventures XI-A Side Fund, L.P.CIK 0001665600 | 持股 10% 以上大股東 |
| Battery Ventures XI-B, L.P.CIK 0001665601 | 持股 10% 以上大股東 |
| Battery Investment Partners XI, LLCCIK 0001665602 | 持股 10% 以上大股東 |
| Battery Ventures XI-A, L.P.CIK 0001665603 | 持股 10% 以上大股東 |
| Battery Partners XI Side Fund, LLCCIK 0001869817 | 持股 10% 以上大股東 |
| Battery Partners XI, LLCCIK 0001870316 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/19 | Common Stock | C轉換取得 | +7,847,306 | –F1 | – | 7,847,306 | 間接 | |
| 2021/11/19 | Common Stock | C轉換取得 | +7,569,790 | –F1 | – | 7,569,790 | 間接 | |
| 2021/11/19 | Common Stock | C轉換取得 | +221,708 | –F1 | – | 221,708 | 間接 | |
| 2021/11/19 | Common Stock | C轉換取得 | +2,241,717 | –F1 | – | 2,241,717 | 間接 | |
| 2021/11/19 | Common Stock | J其他處分 | −7,847,306 | –F9 | – | 0 | 間接 | |
| 2021/11/19 | Common Stock | J其他處分 | −7,569,790 | –F9 | – | 0 | 間接 | |
| 2021/11/19 | Common Stock | J其他處分 | −221,708 | –F9 | – | 0 | 間接 | |
| 2021/11/19 | Common Stock | J其他處分 | −2,241,717 | –F9 | – | 0 | 間接 | |
| 2021/11/19 | Class A Common Stock | C轉換取得 | +1,100,000 | –F10 | – | 1,100,000 | 間接 | 重複申報 |
| 2021/11/19 | Class A Common Stock | P買進取得 | +29,250 | $65.00 | +$1,901,250 | 29,250 | 間接 | 重複申報 |
| 2021/11/19 | Class A Common Stock | P買進取得 | +295,750 | $65.00 | +$19,223,750 | 1,395,750 | 間接 | 重複申報 |
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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/19 | Common Stock | C轉換處分 | −38,767 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −37,396 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −159,150 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −1,609,187 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −275,116 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −265,387 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −51,586 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −521,585 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −324,063 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −312,603 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −5,351,696 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −5,162,432 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −781,624 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −753,984 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −1,076,040 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −1,037,988 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −10,972 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Common Stock | C轉換處分 | −110,945 | $0.00 | $0 | 0 | 間接 | |
| 2021/11/19 | Class A Common Stock | J其他取得 | +7,847,306 | $0.00 | $0 | 7,847,306 | 間接 | |
| 2021/11/19 | Class A Common Stock | J其他取得 | +7,569,790 | $0.00 | $0 | 7,569,790 | 間接 | |
| 2021/11/19 | Class A Common Stock | J其他取得 | +221,708 | $0.00 | $0 | 221,708 | 間接 | |
| 2021/11/19 | Class A Common Stock | J其他取得 | +2,241,717 | $0.00 | $0 | 2,241,717 | 間接 | |
| 2021/11/19 | Class A Common Stock | C轉換處分 | −1,100,000 | $0.00 | $0 | 1,141,717 | 間接 | 重複申報 |
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 Series A-1 Preferred Stock-NV, Series A Preferred Stock, Series A Preferred Stock-NV, Series B Preferred Stock, Series B Preferred Stock-NV, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.
表 I 有 4 筆交易的價格引用這則附註。
- F9
Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
表 I 有 4 筆交易的價格引用這則附註。
- F10
Each share of Class B Common Stock is convertible into one share of Class A Common Stock (A) at any time at the option of the Reporting Person or (B) automatically upon the occurrence of the following: (1) the transfer of such share of Class B Common Stock, except for certain transfers whereby the Reporting Person continues to hold sole voting and dispositive power with respect to each such share, (2) the death of a Class B common stockholder who is a natural person, (3) the last trading day of the fiscal quarter immediately following the fifth anniversary of the Issuer's initial public offering, (4) the date specified by affirmative vote of the holders of a majority of the outstanding shares of Class B common stock and (5) the last trading day of the fiscal quarter during which the then outstanding shares of Class B Common Stock first represent less than 10% of the aggregate number of shares of the then outstanding Class A Common Stock and Class B Common Stock.
表 I 有 1 筆交易的價格引用這則附註。
備註
1 of 3: The number of joint filers exceeds the EDGAR maximum of 10 joint filers per Form. This Form 4 is being filed in conjunction with Form 4s being filed by Battery Partners Select Fund I GP, LLC and other filing persons and by Michael M. Brown and other filing persons.