Gruener Garrett 的 Form 4 申報
NANOMIX Corp（NNMX），2022/9/21 申報
- 申報編號
- 0001213900-22-057608
- 申報時間
- 2022/9/21 12:09 ET
- 交易日
- 2021/6/25-2022/8/22
- 申報延遲
- 453 天遲報
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 5 筆非衍生性交易、4 筆衍生性交易。公開市場買進合計 $6,345.44。交易後 453 天才申報，超過 2 個營業日的期限。
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 |
|---|---|
| Gruener GarrettCIK 0001106287 | 董事、持股 10% 以上大股東 |
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 |
|---|---|---|---|---|---|---|---|---|
| 2022/3/2 | Common Stock | C轉換取得 | +25,160,338 | –F3 | – | 25,160,338 | 直接 | |
| 2022/8/18 | Common Stock | P買進取得 | +32 | $0.57 | +$18.24 | 25,160,370 | 直接 | |
| 2022/8/19 | Common Stock | P買進取得 | +2,968 | $0.40 | +$1,187.2 | 25,163,306 | 直接 | |
| 2022/8/22 | Common Stock | P買進取得 | +1,500 | $0.36 | +$540 | 25,174,838 | 直接 | |
| 2022/8/22 | Common Stock | P買進取得 | +11,500 | $0.40 | +$4,600 | 25,176,338 | 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。
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 June 25, 2021, Reporting Person exchanged a promissory note in the principal amount of $1,603,778 for (i) a senior secured convertible note for an aggregate principal amount of $1,603,778 (the "June 2021 Note") and (ii) a warrant to purchase 134,771,261 shares of the Issuer's common stock (the "June 2021 Warrant"). The June 2021 Note matures on June 25, 2023. The June 2021 Note is convertible at any time into shares of the Issuer's common stock equal to $0.0119 (the "Conversion Price"). The June 2021 Warrant is exercisable at any time into shares of common stock equal to $0.0119 (the "Exercise Price"). On March 2, 2022, the Conversion Price and Exercise Price were adjusted to $2.0587 upon consummation of the Issuer's previously announced reverse split. The Conversion Price and Exercise Price were again amended to $1.1717 in March 2022. At any time during any Event of Default, the Conversion Price in effect may be equal to the Alternative Conversion Price (as defined in the Note).
表 II 有 1 筆交易的價格引用這則附註。
- F2
On February 28, 2022, Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $444,444 (the "February 2022 Note") and (ii) a warrant to purchase 37,348,235 shares of the Issuer's common stock (the "February 2022 Warrant") for an aggregate purchase price of $400,000. The February 2022 Note matures on February 28, 2024. The February 2022 Note is convertible at any time into shares of the Issuer's common stock at the Conversion Price. The June 2021 Warrant is exercisable at any time into shares of the Issuer's common stock at the Exercise Price. On March 2, 2022, the Conversion Price and Exercise Price were adjusted to $2.0587 upon consummation of the Issuer's previously announced reverse split. The Conversion Price and Exercise Price were again amended to $1.1717 in March 2022. At any time during the continuance of any Event of Default, the Conversion Price in effect may be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F3
On March 2, 2022, the Reporting Person's Series C Preferred Stock automatically converted into an aggregate of 25,160,338 shares of the Issuer's common stock upon consummation of the Issuer's previously announced reverse stock split.
表 I 有 1 筆交易的價格引用這則附註。