Reynolds Ben 的 Form 4/A 修正申報
修正Silvergate Capital Corp（SICP），2021/11/8 申報
- 申報編號
- 0001312109-21-000259
- 申報時間
- 2021/11/8
- 交易日
- 2021/8/4
- 申報延遲
- 96 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2021/8/6
這份申報列了 1 筆非衍生性交易、1 筆衍生性交易。沿用原件裡沒有重述的 6 筆交易。公開市場賣出合計 $121.9 萬。交易後 96 天申報。
這份修正申報重述了 0001312109-21-000186（2021/8/6 申報）的一部分，沒有重述的交易仍然有效，列在下面。
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 |
|---|---|
| Reynolds BenCIK 0001757679 | 高階主管（策略長） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2021/8/4 | Class A Common Stock | M行使選擇權取得 | +1,714 | $16.09 | +$27,578.26 | 4,748 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/8/4 | Class A Common Stock | M行使選擇權處分 | −1,714 | $0.00 | $0 | 5,140 | 直接 |
沿用原件的交易
這份修正申報只重述了原件的一部分。原件其他的交易仍然有效，網站的交易表把它們算在這份修正申報底下。
來自 0001312109-21-000186（2021/8/6 申報）。
非衍生性證券（表 I）
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/8/4 | Class A Common Stock | S賣出處分 | −1,600 | $102.72F1 | −$164,352 | 13,148 | 直接 | |
| 2021/8/4 | Class A Common Stock | S賣出處分 | −3,000 | $103.44F2 | −$310,320 | 10,148 | 直接 | |
| 2021/8/4 | Class A Common Stock | S賣出處分 | −400 | $104.38F3 | −$41,752 | 9,748 | 直接 | |
| 2021/8/4 | Class A Common Stock | S賣出處分 | −2,363 | $103.59F4 | −$244,783.17 | 7,385 | 直接 | |
| 2021/8/4 | Class A Common Stock | S賣出處分 | −1,900 | $104.75F5 | −$199,025 | 5,485 | 直接 | |
| 2021/8/4 | Class A Common Stock | S賣出處分 | −2,451 | $105.47F6 | −$258,506.97 | 3,034 | 直接 |
原件的附註
這幾筆交易的價格在原件上引用的附註。
- F1
This transaction was executed in multiple trades at prices ranging from $102.09 to $103.07. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
表 I 有 1 筆交易的價格引用這則附註。
- F2
This transaction was executed in multiple trades at prices ranging from $103.10 to $104.065. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
表 I 有 1 筆交易的價格引用這則附註。
- F3
This transaction was executed in multiple trades at prices ranging from $104.17 to $104.45. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
表 I 有 1 筆交易的價格引用這則附註。
- F4
This transaction was executed in multiple trades at prices ranging from $103.10 to $104.09. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
表 I 有 1 筆交易的價格引用這則附註。
- F5
This transaction was executed in multiple trades at prices ranging from $104.16 to $105.11. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
表 I 有 1 筆交易的價格引用這則附註。
- F6
This transaction was executed in multiple trades at prices ranging from $105.21 to $105.83. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
表 I 有 1 筆交易的價格引用這則附註。
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
The original Form 4 filed on August 6, 2021 inadvertently omitted this additional option excercise.
- F2
The option becomes exercisable in four equal annual installments beginning November 18, 2020.
- F3
Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock.
- F4
The restricted stock units vest in three equal annual installments beginning on February 26, 2022. Vested shares will be delivered within thirty days following the vesting of the restricted stock units, when, subject to any trading restriction, the reporting person will receive the number of Class A Common Stock shares that corresponds to the number of restricted stock units that have become vested on the applicable vesting date, less any shares withheld to satisfy federal, state, and local taxes of any kind.
- F5
The original Form 4 filed on August 6, 2021 incorrectly listed this amount of restricted stock units as 3,918.