Pickering Grant 的 Form 4/A 修正申報
修正Vaxcyte, Inc.（PCVX），2022/9/30 申報
- 申報編號
- 0001209191-22-051682
- 申報時間
- 2022/9/30
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2022/9/28
這份申報沒有列出任何交易。沿用原件裡沒有重述的 4 筆交易。公開市場賣出合計 $24.7 萬。
這份修正申報重述了 0001209191-22-051492（2022/9/28 申報）的一部分，沒有重述的交易仍然有效，列在下面。
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 |
|---|---|
| Pickering GrantCIK 0001258693 | 董事、高階主管（執行長） |
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。
這份申報沒有這一類的交易。
沿用原件的交易
這份修正申報只重述了原件的一部分。原件其他的交易仍然有效，網站的交易表把它們算在這份修正申報底下。
來自 0001209191-22-051492（2022/9/28 申報）。
非衍生性證券（表 I）
原件的附註
這幾筆交易的價格在原件上引用的附註。
- F2
The price reported is a weighted-average price. The shares were sold at prices ranging from $24.215 to $25.20. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
表 I 有 1 筆交易的價格引用這則附註。
- F4
The price reported is a weighted-average price. The shares were sold at prices ranging from $25.26 to $25.34. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
表 I 有 1 筆交易的價格引用這則附註。
- F5
The price reported is a weighted-average price. The shares were sold at prices ranging from $24.23 to $25.20. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The price reported is a weighted-average price. The shares were sold at prices ranging from $25.25 to $25.34. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
表 I 有 1 筆交易的價格引用這則附註。
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
On September 22, 2022, the Reporting Person entered into a divorce settlement agreement with his ex-spouse (the "Settlement Agreement") pursuant to a "domestic relations order" as defined in Section 16(a)(12) of the Securities Exchange Act of 1934, as amended. Since the date of the Reporting Person's ownership report filed on September 19, 2022 (the "Prior Ownership Report"), the Reporting Person effectively transferred 293,228 shares of Vaxcyte, Inc. Common Stock to his ex-spouse pursuant to the Settlement Agreement. Of these 293,228 shares, Reporting Person has transferred the economic interest in 28,632 shares. While the Reporting Person will retain these shares, the Reporting Person's ex-spouse will receive the economic benefit from, and has sole discretion with respect to, the portion of the shares representing the spouse's transferred economic interest, including any sales of shares underlying such portion. Continued in footnote 2.
- F2
Continued from footnote 1. Accordingly, the Reporting Person will not report beneficial ownership of or dispositions of the disposed shares or the portion of such shares representing his ex-spouse's transferred economic interest, nor will the Reporting Person report beneficial ownership of or acquisitions or dispositions of the shares, in future Section 16(a) filings.
- F3
The shares subject to the option representing the Reporting Person's remaining economic interest are fully vested and exercisable.
- F4
Since the date of the Prior Ownership Report, Reporting Person transferred 13,663 stock options to Reporting Person's ex-spouse pursuant to the Settlement Agreement. The Reporting Person will no longer report beneficial ownership of these stock options, or acquisitions or dispositions of the underlying shares, in future Section 16(a) filings.
- F5
Since the date of the Prior Ownership Report, Reporting Person transferred 117,225 stock options to Reporting Person's ex-spouse pursuant to the Settlement Agreement. The Reporting Person will no longer report beneficial ownership of these stock options, or acquisitions or dispositions of the underlying shares, in future Section 16(a) filings.
- F6
Since the date of the Prior Ownership Report, Reporting Person effectively transferred 276,947 stock options to Reporting Person's ex-spouse pursuant to the Settlement Agreement. Of these 276,947 stock options, Reporting Person has transferred the economic interest in 91,457 stock options, all of which he will currently hold in constructive trust. While the Reporting Person will retain these stock options, the Reporting Person's ex-spouse will receive the economic benefit from, and has sole discretion with respect to, the portion of the stock options representing the spouse's transferred economic interest, including exercises thereof and sales of shares underlying such portion. Continued in footnote 7.
- F7
Continued from footnote 6. Accordingly, the Reporting Person will not report beneficial ownership of or dispositions of the disposed stock options or the portion of such stock options representing his ex-spouse's transferred economic interest, nor will the Reporting Person report beneficial ownership of or acquisitions or dispositions of the underlying shares, in future Section 16(a) filings.
- F8
As of the date of transfer, the shares subject to the option representing the reporting person's remaining economic interest will vest in monthly installments from October 20, 2022 to March 20, 2024.
- F9
Since the date of the Prior Ownership Report, Reporting Person effectively transferred 108,840 stock options to Reporting Person's ex-spouse pursuant to the Settlement Agreement. Of these 108,840 stock options, Reporting Person has transferred the economic interest in 21,241 stock options, all of which he will currently hold in constructive trust. While the Reporting Person will retain these stock options, the Reporting Person's ex-spouse will receive the economic benefit from, and has sole discretion with respect to, the portion of the stock options representing the spouse's transferred economic interest, including exercises thereof and sales of shares underlying such portion. Continued in footnote 10.
- F10
Continued from footnote 9. Accordingly, the Reporting Person will not report beneficial ownership of or dispositions of the disposed stock options or the portion of such stock options representing his ex-spouse's transferred economic interest, nor will the Reporting Person report beneficial ownership of or acquisitions or dispositions of the underlying shares, in future Section 16(a) filings.
- F11
As of the date of transfer, the shares subject to the option representing the Reporting Person's remaining economic interest will vest in monthly installments from October 1, 2022 to April 1, 2025.
- F12
Since the date of the Prior Ownership Report, Reporting Person effectively transferred 6,888 stock options to Reporting Person's ex-spouse pursuant to the Settlement Agreement. Of these 6,888 stock options, Reporting Person has transferred the economic interest in 1,575 stock options, all of which he will currently hold in constructive trust. While the Reporting Person will retain these stock options, the Reporting Person's ex-spouse will receive the economic benefit from, and has sole discretion with respect to, the portion of the stock options representing the spouse's transferred economic interest, including exercises thereof and sales of shares underlying such portion. Continued in footnote 13.
- F13
Continued from footnote 12. Accordingly, the Reporting Person will not report beneficial ownership of or dispositions of the disposed stock options or the portion of such stock options representing his ex-spouse's transferred economic interest, nor will the Reporting Person report beneficial ownership of or acquisitions or dispositions of the underlying shares, in future Section 16(a) filings.
備註
This amendment to Form 4 is being filed solely to report exempt transfers pursuant to a domestic relations order that were not reported in the original Form 4 filing as final numbers were not yet available at the time of filing.