Klamkin Jonathan 的 Form 4/A 修正申報
修正Aeluma, Inc.（ALMU），2025/9/9 申報
- 申報編號
- 0001213900-25-086275
- 申報時間
- 2025/9/9
- 交易日
- 2025/7/1-8/14
- 申報延遲
- 70 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2025/8/14
這份申報列了 2 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $282.8 萬。交易後 70 天申報。
這份修正申報取代了 0001213900-25-076943（2025/8/14 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 |
|---|---|
| Klamkin JonathanCIK 0001869626 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2025/7/1 | Common Stock | J其他取得 | +2,403 | $16.37 | +$39,337.11 | 1,629,398 | 直接 | |
| 2025/8/14 | Common Stock | S賣出處分 | −150,000 | $18.85F4 | −$2,827,500 | 1,479,398 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2025/7/1 | Common Stock | J其他取得 | +6,253 | $16.37 | +$102,361.61 | 326,253 | 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
Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the Reporting Person. Each RSU represents the contingent right to receive one share of Common Stock of the Issuer upon vesting of the RSU.
- F2
The RSUs and the Stock Options were granted to the Reporting Person as a bonus and vested immediately (the "Bonus"). The Bonus was approved by the Issuer's Board of Directors.
- F3
This amendment is being filed solely to remove and correct the reference to a Rule 10b5-1 trading plan and uncheck the box on the cover page relating to same. The shares were sold pursuant to a "non-10b5-1 trading arrangement," as defined in Item 408(c) of Regulation S-K of the Exchange Act and has been terminated.
- F4
These shares were sold in multiple transactions at prices ranging from $18.84520 to $18.85230. The price reported above reflects the weighted average sale price. The Reporting Person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price.
表 I 有 1 筆交易的價格引用這則附註。