Chen Thomas C 的 Form 4/A 修正申報
修正Neonc Technologies Holdings, Inc.（NTHI），2025/4/8 申報
- 申報編號
- 0001213900-25-030062
- 申報時間
- 2025/4/8
- 交易日
- 2025/3/26
- 申報延遲
- 13 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2025/3/28
這份申報列了 4 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $97.5 萬。交易後 13 天申報。
這份申報後來被修正申報 0001213900-25-051685（2025/6/5）取代，網站的交易表改用修正後的版本。
這份修正申報取代了 0001013762-25-004347（2025/3/28 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 |
|---|---|
| Chen Thomas CCIK 0001998682 | 董事、高階主管（執行長）、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 |
|---|---|---|---|---|---|---|---|---|
| 2025/3/26 | Common Stock | J其他處分 | −4,076 | $0.00F2 | $0 | 220,787 | 間接 | |
| 2025/3/26 | Common Stock | X行使價內選擇權取得 | +79,688 | $12.00 | +$956,256 | 300,475 | 間接 | |
| 2025/3/26 | Common Stock | S賣出處分 | −38,250 | $25.00 | −$956,250 | 262,225 | 間接 | |
| 2025/3/26 | Common Stock | S賣出處分 | −983 | $19.13 | −$18,804.79 | 261,242 | 間接 |
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 |
|---|---|---|---|---|---|---|---|---|
| 2025/3/26 | Common Stock | X行使價內選擇權處分 | −79,688 | $0.00 | $0 | 0 | 間接 |
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
Transfer of shares of common stock held by HCWG LLC pursuant to agreement.
- F2
Not applicable. Number of shares transferred was based on a per share value of $18.
表 I 有 1 筆交易的價格引用這則附註。
- F3
The shares reported herein represent only Reporting Person's percentage interest in HCWG LLC.
- F4
On 3/26/2025, in conjunction with Issuer's initial listing on Nasdaq, HCWG exercised a warrant to purchase 312,500 shares of Issuer's common stock at $12 per share. HCWG paid the exercise price on a cashless basis, resulting in Issuer's withholding 150,000 of the warrant shares to pay the exercise price and issuing to HCWG the remaining 162,500 shares of common stock. Number of shares reported herein as acquired and disposed of by the Reporting Person represents Reporting Person's indirect interest in HCWG.
- F5
Includes shares of common stock held by certain members of Reporting Person's immediate family of which Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest, if any, therein.
- F6
Shares held by NeuCen Biomedical Co. Ltd. ("NeuCen"). NeuCen is owned in part by Reporting Person's spouse. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.
- F7
Shares held by T. R. Chen Third Family Limited Partnership, a NV limited partnership, of which Reporting Person and his spouse are the general partners with sole voting and dispositive power. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.
- F8
Not applicable.