Sherman Mark Andrew 的 Form 4 申報
Dolby Laboratories, Inc.（DLB），2023/12/19 申報
- 申報編號
- 0001209191-23-059261
- 申報時間
- 2023/12/19
- 交易日
- 2023/12/15-12/19
- 申報延遲
- 4 天
- 10b5-1 計畫
- 沒有勾選
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 $90.6 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 |
|---|---|
| Sherman Mark AndrewCIK 0001256708 | 高階主管（執行副總裁、法務長、公司秘書） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2023/12/15 | Class A Common Stock | A公司授予取得 | +16,726 | $0.00 | $0 | 73,456 | 直接 | |
| 2023/12/15 | Class A Common Stock | M行使選擇權取得 | +5,738 | $0.00F3 | $0 | 79,194 | 直接 | |
| 2023/12/15 | Class A Common Stock | F扣股繳稅處分 | −8,713 | $88.60 | −$771,971.8 | 70,481 | 直接 | |
| 2023/12/18 | Class A Common Stock | F扣股繳稅處分 | −1,637 | $87.49 | −$143,221.13 | 68,844 | 直接 | |
| 2023/12/18 | Class A Common Stock | S賣出處分 | −8,856 | $86.19F7 | −$763,298.64 | 59,988 | 直接 | |
| 2023/12/19 | Class A Common Stock | S賣出處分 | −1,663 | $86.01F8 | −$143,034.63 | 58,325 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/12/15 | Class A Common Stock | A公司授予取得 | +8,363 | $0.00 | $0 | 8,363 | 直接 | |
| 2023/12/15 | Class A Common Stock | A公司授予取得 | +29,316 | $0.00 | $0 | 29,316 | 直接 | |
| 2023/12/15 | Class A Common Stock | M行使選擇權處分 | −5,738 | $0.00 | $0 | 0 | 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。
- F3
Each performance-based restricted stock unit (PSU) represented a contingent right to receive, upon vesting, one share of Issuer Class A common stock.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The shares were sold in multiple transactions at prices ranging from $85.86 to $86.78, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the Securities and Exchange Commission 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。
- F8
The shares were sold in multiple transactions at prices ranging from $85.89 to $86.138, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the Securities and Exchange Commission 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。
備註
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 22, 2023 which was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) in effect at the time of adoption.