Cook Patrick 的 Form 4/A 修正申報
修正FTC Solar, Inc.（FTCI），2022/12/21 申報
- 申報編號
- 0001209191-22-062340
- 申報時間
- 2022/12/21 16:30 ET
- 交易日
- 2022/8/23
- 申報延遲
- 120 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2022/8/24
這份申報列了 2 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $16.3 萬。交易後 120 天申報。
這份修正申報取代了 0000899243-22-029635（2022/8/24 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 |
|---|---|
| Cook PatrickCIK 0001855935 | 高階主管（商務長） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2022/8/23 | Common Stock | M行使選擇權取得 | +37,832 | $0.475 | +$17,970.2 | 296,230 | 直接 | |
| 2022/8/23 | Common Stock | S賣出處分 | −37,832 | $4.31 | −$163,055.92 | 258,398 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/8/23 | Common Stock | M行使選擇權處分 | −37,832 | $0.00 | $0 | 737,000 | 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 common stock reported on this line of this Form 4 was issued as a result of the exercise of employee stock options.
- F2
Represents a weighted average sales price per share for these shares, which were sold in multiple transactions at prices ranging from $4.25 to $4.35. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
- F3
These shares are owned directly by the Patrick Cook 2021 Trust for the benefit of the Reporting Person. The Reporting Person (a) is the sole trustee of the trust and (b) has sole voting and dispositive power with respect to the shares held by the trust. The Reporting Person's spouse has sole power to acquire for herself any assets held in the trust, including the shares, by substituting other property of equivalent value. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of such securities for Section 16 or any other purpose.
- F4
These shares are owned directly by the Cook 2021 Family Trust for the benefit of the Reporting Person's children. The Reporting Person (a) is the sole investment adviser of the trust, (b) has sole power to direct the trustee as to the voting and disposition of the shares held by the trust, and (c) has sole power to acquire for himself any asset held in the trust, including the shares, by substituting other property of equivalent value. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of such securities for Section 16 or any other purpose.
- F5
927,750 of the options are fully vested and exercisable as of August 23, 2022, and the remaining 309,250 options will vest in monthly installments until July 29, 2023.
備註
This Form 4/A amends and restates the original Form 4 filed by the Reporting Person on August 24, 2022 (the "Original Form 4"), which inadvertently excluded the exercise of a stock option on August 23, 2022. This amendment reports such exercise and corrects the number of shares beneficially owned after the sale of shares reported in the Original Form 4. This Form 4/A is also deemed to update the amount of common stock reported as beneficially owned by the Reporting Person in subsequently filed Forms 4 after the date of the Original Form 4 filing.