Gruener Garrett 的 Form 4 申報
NANOMIX Corp（NNMX），2022/12/19 申報
- 申報編號
- 0001213900-22-081085
- 申報時間
- 2022/12/19 18:59 ET
- 交易日
- 2022/4/8-12/9
- 申報延遲
- 255 天遲報
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 2 筆非衍生性交易、28 筆衍生性交易。公開市場買進合計 $2,500。交易後 255 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/12/9 | Common Stock | P買進取得 | +2,620 | $0.25 | +$655 | 25,178,958 | 直接 | |
| 2022/12/9 | Common Stock | P買進取得 | +7,380 | $0.25 | +$1,845 | 25,186,338 | 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。
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/4/8 | Common Stock | P買進取得 | +378,573 | $444,444.00 | – | – | 直接 | 價格異常 |
| 2022/4/8 | Common Stock | P買進取得 | +568,974 | –F1 | – | 3,708,389 | 直接 | |
| 2022/4/26 | Common Stock | P買進取得 | +141,965 | $166,667.00 | – | – | 直接 | 價格異常 |
| 2022/4/26 | Common Stock | P買進取得 | +213,366 | –F2 | – | 3,921,755 | 直接 | |
| 2022/5/13 | Common Stock | P買進取得 | +141,965 | $166,667.00 | – | – | 直接 | 價格異常 |
| 2022/5/13 | Common Stock | P買進取得 | +213,366 | –F3 | – | 4,135,121 | 直接 | |
| 2022/5/19 | Common Stock | P買進取得 | +14,196 | $16,667.00 | – | – | 直接 | 價格異常 |
| 2022/5/19 | Common Stock | P買進取得 | +21,337 | –F4 | – | 4,156,458 | 直接 | |
| 2022/5/25 | Common Stock | P買進取得 | +179,822 | $211,111.00 | – | – | 直接 | 價格異常 |
| 2022/5/25 | Common Stock | P買進取得 | +270,263 | –F5 | – | 4,426,721 | 直接 | |
| 2022/6/10 | Common Stock | P買進取得 | +146,697 | $172,222.00 | – | – | 直接 | 價格異常 |
| 2022/6/10 | Common Stock | P買進取得 | +220,478 | –F6 | – | 4,647,199 | 直接 | |
| 2022/6/22 | Common Stock | P買進取得 | +165,636 | $194,444.00 | – | – | 直接 | 價格異常 |
| 2022/6/22 | Common Stock | P買進取得 | +248,927 | –F7 | – | 4,896,126 | 直接 | |
| 2022/7/13 | Common Stock | P買進取得 | +165,636 | $194,444.00 | – | – | 直接 | 價格異常 |
| 2022/7/13 | Common Stock | P買進取得 | +248,927 | –F8 | – | 5,145,053 | 直接 | |
| 2022/7/27 | Common Stock | P買進取得 | +479,216 | $555,556.00 | – | – | 直接 | 價格異常 |
| 2022/7/27 | Common Stock | P買進取得 | +711,218 | –F9 | – | 5,856,271 | 直接 | |
| 2022/8/23 | Common Stock | P買進取得 | +479,216 | $555,556.00 | – | – | 直接 | 價格異常 |
| 2022/8/23 | Common Stock | P買進取得 | +711,218 | –F10 | – | 6,567,489 | 直接 | |
| 2022/9/9 | Common Stock | P買進取得 | +236,608 | $277,778.00 | – | – | 直接 | 價格異常 |
| 2022/9/9 | Common Stock | P買進取得 | +355,609 | –F11 | – | 6,923,098 | 直接 | |
| 2022/10/11 | Common Stock | P買進取得 | +236,608 | $277,778.00 | – | – | 直接 | 價格異常 |
| 2022/10/11 | Common Stock | P買進取得 | +355,609 | –F12 | – | 7,278,707 | 直接 | |
| 2022/11/10 | Common Stock | P買進取得 | +236,608 | $277,778.00 | – | – | 直接 | 價格異常 |
| 2022/11/10 | Common Stock | P買進取得 | +355,610 | –F13 | – | 7,634,317 | 直接 | |
| 2022/11/28 | Common Stock | P買進取得 | +141,965 | $166,667.00 | – | – | 直接 | 價格異常 |
| 2022/11/28 | Common Stock | P買進取得 | +213,366 | –F14 | – | 7,847,683 | 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
On April 8, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $444,444 (the "4/8 Note") and (ii) a warrant to purchase 568,974 shares of the Issuer's common stock (the "4/8 Warrant") for an aggregate purchase price of $400,000. The 4/8 Note matures on April 8, 2024 unless earlier converted or extended as set forth in the 4/8 Note. The 4/8 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 4/8 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F2
On April 26, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $166,667 (the "4/26 Note") and (ii) a warrant to purchase 213,366 shares of the Issuer's common stock (the "4/26 Warrant") for an aggregate purchase price of $150,000. The 4/26 Note matures on April 26, 2024 unless earlier converted or extended as set forth in the 4/26 Note. The 4/26 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 4/26 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, 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 May 13, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $166,667 (the "5/13 Note") and (ii) a warrant to purchase 213,366 shares of the Issuer's common stock (the "5/13 Warrant") for an aggregate purchase price of $150,000. The 5/13 Note matures on May 13, 2024 unless earlier converted or extended as set forth in the 5/13 Note. The 5/13 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 5/13 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F4
On May 19, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $16,667 (the "5/19 Note") and (ii) a warrant to purchase 21,337 shares of the Issuer's common stock (the "5/19 Warrant") for an aggregate purchase price of $15,000. The 5/19 Note matures on May 19, 2024 unless earlier converted or extended as set forth in the 5/19 Note. The 5/19 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 5/19 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F5
On May 25, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $211,111 (the "5/25 Note") and (ii) a warrant to purchase 270,263 shares of the Issuer's common stock (the "5/25 Warrant") for an aggregate purchase price of $190,000. The 5/25 Note matures on May 25, 2024 unless earlier converted or extended as set forth in the 5/25 Note. The 5/25 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 5/25 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F6
On June 10, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $172,222 (the "6/10 Note") and (ii) a warrant to purchase 220,478 shares of the Issuer's common stock (the "6/10 Warrant") for an aggregate purchase price of $155,000. The 6/10 Note matures on June 10, 2024 unless earlier converted or extended as set forth in the 6/10 Note. The 6/10 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 6/10Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F7
On June 22, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $194,444 (the "6/22 Note") and (ii) a warrant to purchase 248,927 shares of the Issuer's common stock (the "6/22 Warrant") for an aggregate purchase price of $175,000. The 6/22 Note matures on June 22, 2024 unless earlier converted or extended as set forth in the 6/22 Note. The 6/22 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 6/22 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F8
On July 13, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $194,444 (the "7/13 Note") and (ii) a warrant to purchase 248,927 shares of the Issuer's common stock (the "7/13 Warrant") for an aggregate purchase price of $175,000. The 7/13 Note matures on July 13, 2024 unless earlier converted or extended as set forth in the 7/13 Note. The 7/13 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 7/13 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F9
On July 27, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $555,556 (the "7/27 Note") and (ii) a warrant to purchase 711,218 shares of the Issuer's common stock (the "7/27 Warrant") for an aggregate purchase price of $500,000. The 7/27 Note matures on July 27, 2024 unless earlier converted or extended as set forth in the 7/27 Note. The 7/27 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 7/27 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F10
On August 23, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $555,556 (the "8/23 Note") and (ii) a warrant to purchase 711,218 shares of the Issuer's common stock (the "8/23 Warrant") for an aggregate purchase price of $500,000. The 8/23 Note matures on August 23, 2024 unless earlier converted or extended as set forth in the 8/23 Note. The 8/23 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 8/23 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F11
On September 9, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $277,778 (the "9/9 Note") and (ii) a warrant to purchase 355,609 shares of the Issuer's common stock (the "9/9 Warrant") for an aggregate purchase price of $250,000. The 9/9 Note matures on September 9, 2024 unless earlier converted or extended as set forth in the 9/9 Note. The 9/9 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 9/9 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F12
On October 11, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $277,778 (the "10/11 Note") and (ii) a warrant to purchase 355,609 shares of the Issuer's common stock (the "10/11 Warrant") for an aggregate purchase price of $250,000. The 10/11 Note matures on October 11, 2024 unless earlier converted or extended as set forth in the 10/11 Note. The 10/11 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 10/11 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F13
On November 10, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $277,778 (the "11/10 Note") and (ii) a warrant to purchase 355,610 shares of the Issuer's common stock (the "11/10 Warrant") for an aggregate purchase price of $250,000. The 11/10 Note matures on November 10, 2024 unless earlier converted or extended as set forth in the 11/10 Note. The 11/10 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 11/10 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。
- F14
On November 28, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $166,667 (the "11/28 Note") and (ii) a warrant to purchase 213,366 shares of the Issuer's common stock (the "11/28 Warrant") for an aggregate purchase price of $150,000. The 11/28 Note matures on November 28, 2024 unless earlier converted or extended as set forth in the 11/28 Note. The 11/28 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 11/28 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
表 II 有 1 筆交易的價格引用這則附註。