Friedman Gavin 的 Form 4/A 修正申報
修正Trupanion, Inc.（TRUP），2022/2/14 申報
- 申報編號
- 0001371285-22-000033
- 申報時間
- 2022/2/14
- 交易日
- 2021/8/25-2022/1/3
- 申報延遲
- 173 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2022/1/6
這份申報列了 27 筆非衍生性交易、10 筆衍生性交易。公開市場賣出合計 $289.4 萬。交易後 173 天申報。
這份修正申報取代了 0001371285-22-000006（2022/1/5 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 |
|---|---|
| Friedman GavinCIK 0001800776 | 高階主管（EVP, People and Legal） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2021/8/25 | Common Stock | M行使選擇權取得 | +313 | –F1 | – | 360 | 直接 | |
| 2021/8/25 | Common Stock | F扣股繳稅處分 | −123 | $93.83 | −$11,541.09 | 237 | 直接 | |
| 2021/8/25 | Common Stock | M行使選擇權取得 | +684 | –F1 | – | 921 | 直接 | |
| 2021/8/25 | Common Stock | F扣股繳稅處分 | −269 | $93.83 | −$25,240.27 | 652 | 直接 | |
| 2021/8/25 | Common Stock | M行使選擇權取得 | +23 | –F1 | – | 675 | 直接 | |
| 2021/8/25 | Common Stock | F扣股繳稅處分 | −9 | $93.83 | −$844.47 | 666 | 直接 | |
| 2021/8/25 | Common Stock | M行使選擇權取得 | +2,746 | –F1 | – | 3,412 | 直接 | |
| 2021/8/25 | Common Stock | F扣股繳稅處分 | −1,080 | $93.83 | −$101,336.4 | 2,332 | 直接 | |
| 2021/11/25 | Common Stock | M行使選擇權取得 | +312 | $0.00F1 | $0 | 2,644 | 直接 | |
| 2021/11/25 | Common Stock | S賣出處分 | −123 | $125.23F5 | −$15,403.29 | 2,521 | 直接 | |
| 2021/11/25 | Common Stock | M行使選擇權取得 | +684 | $0.00F1 | $0 | 3,205 | 直接 | |
| 2021/11/25 | Common Stock | S賣出處分 | −269 | $125.23F6 | −$33,686.87 | 2,936 | 直接 | |
| 2021/11/25 | Common Stock | M行使選擇權取得 | +23 | $0.00F1 | $0 | 2,959 | 直接 | |
| 2021/11/25 | Common Stock | S賣出處分 | −10 | $125.22 | −$1,252.2 | 2,949 | 直接 | |
| 2021/11/25 | Common Stock | M行使選擇權取得 | +2,747 | $0.00F1 | $0 | 5,696 | 直接 | |
| 2021/11/25 | Common Stock | F扣股繳稅處分 | −1,080 | $125.03 | −$135,032.4 | 4,616 | 直接 | |
| 2022/1/3 | Common Stock | M行使選擇權取得 | +10,000 | $16.32 | +$163,200 | 14,616 | 直接 | |
| 2022/1/3 | Common Stock | M行使選擇權取得 | +9,000 | $17.97 | +$161,730 | 23,616 | 直接 | |
| 2022/1/3 | Common Stock | S賣出處分 | −3,151 | $126.29F8 | −$397,939.79 | 20,465 | 直接 | |
| 2022/1/3 | Common Stock | S賣出處分 | −3,300 | $127.32F9 | −$420,156 | 17,165 | 直接 | |
| 2022/1/3 | Common Stock | S賣出處分 | −2,816 | $128.58F10 | −$362,081.28 | 14,349 | 直接 | |
| 2022/1/3 | Common Stock | S賣出處分 | −7,417 | $129.37F11 | −$959,537.29 | 6,932 | 直接 | |
| 2022/1/3 | Common Stock | S賣出處分 | −550 | $130.43F12 | −$71,736.5 | 6,382 | 直接 | |
| 2022/1/3 | Common Stock | S賣出處分 | −1,550 | $131.43F13 | −$203,716.5 | 4,832 | 直接 | |
| 2022/1/3 | Common Stock | S賣出處分 | −1,800 | $132.67F14 | −$238,806 | 3,032 | 直接 | |
| 2022/1/3 | Common Stock | S賣出處分 | −1,077 | $133.46F15 | −$143,736.42 | 1,955 | 直接 | |
| 2022/1/3 | Common Stock | S賣出處分 | −339 | $134.45F16 | −$45,578.55 | 1,616 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/8/25 | Common Stock | M行使選擇權處分 | −313 | $0.00 | $0 | 625 | 直接 | |
| 2021/8/25 | Common Stock | M行使選擇權處分 | −684 | $0.00 | $0 | 4,104 | 直接 | |
| 2021/8/25 | Common Stock | M行使選擇權處分 | −23 | $0.00 | $0 | 205 | 直接 | |
| 2021/8/25 | Common Stock | M行使選擇權處分 | −2,746 | $0.00 | $0 | 27,464 | 直接 | |
| 2021/11/25 | Common Stock | M行使選擇權處分 | −312 | $0.00 | $0 | 313 | 直接 | |
| 2021/11/25 | Common Stock | M行使選擇權處分 | −684 | $0.00 | $0 | 3,420 | 直接 | |
| 2021/11/25 | Common Stock | M行使選擇權處分 | −23 | $0.00 | $0 | 182 | 直接 | |
| 2021/11/25 | Common Stock | M行使選擇權處分 | −2,747 | $0.00 | $0 | 24,717 | 直接 | |
| 2022/1/3 | Common Stock | M行使選擇權處分 | −10,000 | $0.00 | $0 | 0 | 直接 | |
| 2022/1/3 | Common Stock | M行使選擇權處分 | −9,000 | $0.00 | $0 | 0 | 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
Restricted stock units convert into common stock on a one-for-one basis.
表 I 有 8 筆交易的價格引用這則附註。
- F2
This Form 4 discloses the shares of common stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the vesting of the restricted stock units, and does not represent a sale by the reporting person.
- F3
This Form 4 amends the incorrect disclosure that shares were withheld by issuer to satisfy taxes and corrects the disclosure to report that shares were sold by issuer to satisfy tax obligations.
- F4
This Form 4 discloses the shares of common stock that have been sold by the issuer to satisfy its income tax withholding and remittance obligations in connection with the vesting of the restricted stock units.
- F5
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.22 to $126.35 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F6
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.22 to $126.365 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The exercise and sale reported were effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person on November 30, 2021, in order to implement a plan of financial diversification. Accordingly, the reporting person had no discretion with regard to the timing of the transaction.
- F8
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.83 to $126.77 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F9
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.88 to $127.85 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F10
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $127.90 to $128.89 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F11
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.915 to $129.745 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F12
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.01 to $130.98 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F13
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.03 to $132.00 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F14
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.05 to $133.02 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F15
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $133.10 to $133.90 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F16
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $134.18 to $134.64 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 1 筆交易的價格引用這則附註。
- F17
The RSU vests and will convert to common stock of the Issuer as to 1/4th of the total shares on February 25, 2019, after which 1/16th of the total shares vest quarterly, subject to continued service through each vesting date.
- F18
The RSU vests and will convert to common stock of the Issuer as to 1/4th of the total shares on February 25, 2020, after which 1/16th of the total shares vest quarterly, subject to continued service through each vesting date.
- F19
The RSU vests and will convert to common stock of the Issuer as to 1/4th of the total shares on November 25, 2020, after which 1/16th of the total shares vest quarterly, subject to continued service through each vesting date.
- F20
The RSU vests and will convert to common stock of the Issuer as to 1/4th of the total shares on February 25, 2021, after which 1/16th of the total shares vest quarterly, subject to continued service through each vesting date.
- F21
The option is fully vested.