Yednock Ted 的 Form 4/A 修正申報
修正Annexon, Inc.（ANNX），2024/1/23 申報
- 申報編號
- 0001209191-24-002080
- 申報時間
- 2024/1/23
- 交易日
- 2023/7/11-12/27
- 申報延遲
- 196 天
- 10b5-1 計畫
- 有勾選
- 原始申報日
- 2023/12/29
這份申報列了 4 筆非衍生性交易。沿用原件裡沒有重述的 2 筆交易。公開市場賣出合計 $9.90 萬。交易後 196 天申報。
這份修正申報重述了 0001209191-23-059988（2023/12/29 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 |
|---|---|
| Yednock TedCIK 0001818525 | 高階主管（執行副總裁、創新長） |
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。
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 0001209191-23-059988（2023/12/29 申報）。
衍生性證券（表 II）
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/12/27 | Common Stock | M行使選擇權處分 | −10,615 | $0.00 | $0 | 0 | 直接 | |
| 2023/12/27 | Common Stock | M行使選擇權處分 | −10,385 | $0.00 | $0 | 36,000 | 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
Late reporting of transaction being made as a result of an administrative oversight.
- F2
The shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").
- F3
This transaction was executed in multiple trades in prices ranging from $3.72 to $3.90, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
表 I 有 2 筆交易的價格引用這則附註。
- F4
Includes 33,559 restricted stock units.
- F5
The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted March 28, 2023.
- F6
Column 5 is being amended to reflect the correct amount of securities beneficially owned following reported transaction.
- F7
Reflects the correct amount of securities beneficially owned that was unintentionally omitted from the Form 4 filed December 29, 2023.
備註
On December 29, 2023, the reporting person filed a Form 4 that inadvertently omitted to report the reporting person's (1) shares of common stock that were sold to cover tax withholding obligations in connection with the vesting of restricted stock units and (2) then current Column 5 holdings of common stock beneficially owned, as initially reported by the reporting person on Form 3. This amendment reports the correct amount of securities beneficially owned.