Squires James A 的 Form 4 申報
Norfolk Southern Corp（NSC），2022/1/31 申報
- 申報編號
- 0001225208-22-001215
- 申報時間
- 2022/1/31
- 交易日
- 2022/1/27-1/28
- 申報延遲
- 4 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 6 筆非衍生性交易、5 筆衍生性交易。公開市場賣出合計 $1,694 萬。交易後 4 天申報。
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 |
|---|---|
| Squires James ACIK 0001305086 | 董事、高階主管（董事長、執行長） |
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。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/1/28 | Common Stock | M行使選擇權取得 | +62,880 | $92.76 | +$5,832,748.8 | 118,420 | 直接 | |
| 2022/1/28 | Common Stock | M行使選擇權取得 | +2,982 | $0.00F1 | $0 | 121,402 | 直接 | |
| 2022/1/28 | Common Stock | M行使選擇權取得 | +2,250 | $0.00F2 | $0 | 123,652 | 直接 | |
| 2022/1/28 | Common Stock | F扣股繳稅處分 | −962 | $268.22 | −$258,027.64 | 122,690 | 直接 | |
| 2022/1/28 | Common Stock | F扣股繳稅處分 | −1,275 | $268.22 | −$341,980.5 | 121,415 | 直接 | |
| 2022/1/28 | Common Stock | S賣出處分 | −62,880 | $269.36 | −$16,937,356.8 | 58,535 | 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
Reports the number of Restricted Stock Units, exempt under Section 16(b), granted and credited to the account of the reporting person on January 28, 2019, under the terms of the Norfolk Southern Corporation Long-Term Incentive Plan. Each Unit is the economic equivalent of one share of Common Stock. These Units ultimately will be settled in Common Stock, vesting ratably in four annual installments beginning on the first anniversary of the grant date. This distribution represents the third of four installments.
表 I 有 1 筆、表 II 有 1 筆交易的價格引用這則附註。
- F2
Reports the number of Restricted Stock Units, exempt under Section 16(b), granted and credited to the account of the reporting person on January 28, 2021, under the terms of the Norfolk Southern Corporation Long-Term Incentive Plan. Each Unit is the economic equivalent of one share of Common Stock. These Units ultimately will be settled in Common Stock, vesting ratably in four annual installments beginning on the first anniversary of the grant date. This distribution represents the first of four installments.
表 I 有 1 筆、表 II 有 1 筆交易的價格引用這則附註。
- F5
Reports the grant to the reporting person of an option to purchase shares of common stock under the Norfolk Southern Corporation Long-Term Incentive Plan (a 16b-3 plan).
表 II 有 1 筆交易的價格引用這則附註。
- F6
Reports the number of Restricted Stock Units, exempt under Section 16(b), granted and credited to the account of the reporting person on January 27, 2022, under the terms of the Norfolk Southern Corporation Long-Term Incentive Plan. Each Unit is the economic equivalent of one share of Common Stock. These Units ultimately will be settled in Common Stock, vesting ratably in four annual installments beginning on the first anniversary of the grant date.
表 II 有 1 筆交易的價格引用這則附註。
- F7
Reflects exercise and resulting cancellation of stock option, in a single transaction, exempt from Section 16(b). The stock option was granted under the Long-Term Incentive Plan (a Rule 16b-3 plan).
表 II 有 1 筆交易的價格引用這則附註。