Jankowski Jess 的 Form 4/A 修正申報
修正Solesence, Inc.（SLSN），2022/11/7 申報
- 申報編號
- 0001209191-22-055965
- 申報時間
- 2022/11/7 17:00 ET
- 交易日
- 2022/11/2-11/4
- 申報延遲
- 5 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2022/11/4
這份申報列了 6 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $3.00 萬。交易後 5 天申報。
這份修正申報取代了 0001209191-22-055875（2022/11/4 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 |
|---|---|
| Jankowski JessCIK 0001184478 | 董事、高階主管（總裁、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。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/11/2 | Common Stock | M行使選擇權取得 | +7,400 | $0.415F1 | +$3,071 | 66,400 | 直接 | |
| 2022/11/2 | Common Stock | S賣出處分 | −7,400 | $2.42 | −$17,908 | 59,000 | 直接 | |
| 2022/11/3 | Common Stock | M行使選擇權取得 | +4,283 | $0.415 | +$1,777.45 | 63,283 | 直接 | |
| 2022/11/3 | Common Stock | S賣出處分 | −4,283 | $2.30 | −$9,850.9 | 59,000 | 直接 | |
| 2022/11/4 | Common Stock | M行使選擇權取得 | +1,000 | $0.415 | +$415 | 60,000 | 直接 | |
| 2022/11/4 | Common Stock | S賣出處分 | −1,000 | $2.28 | −$2,280 | 59,000 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/11/2 | Common Stock | M行使選擇權處分 | −86,700 | $0.415 | −$3,071 | 79,300 | 直接 | |
| 2022/11/3 | Common Stock | M行使選擇權處分 | −79,300 | $0.415 | −$1,777.45 | 75,017 | 直接 | |
| 2022/11/4 | Common Stock | M行使選擇權處分 | −75,017 | $0.415 | −$415 | 74,017 | 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
These stock options are set to expire on 02/14/2023. Mr. Jankowski established a 10b5-1 Plan with an independent broker with a goal of having his broker sell shares from this grant, under fixed guidleines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation & Governance Committee of the Nanophase Board of Directors.
表 I 有 1 筆交易的價格引用這則附註。
- F2
These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this broker sell shares from this grant, under fixed guidleines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation & Governance Committee of the Nanophase Board of Directors.
- F3
Subject to certain restrictions, beginning on this date, options vest in three equal installments.
- F4
Subject to certain restrictions, beginning on this date, the options vest in three equal annual installments.
- F5
Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
備註
This filing was amended to reflect the correction of an input error on the conversion of a stock option to common stock on November 4, 2022. The original filing listed the acquisition price of the shares at the sale price, instead of the strike price of the common stock option being exercised. The entry on the seventh line in Table I under "Price" was changed from $2.28 to $0.415 per share. Mr. Jankowski established a 10b5-1 Plan with an independent broker with a goal of having shares from this grant sold, under fixed guidleines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation & Governance Committee of the Nanophase Board of Directors. The maturity of these rights cannot be extended beyond the IRS statutory limit of ten years.