Carroll David Francis 的 Form 4 申報
IVERIC bio, Inc.（ISEE），2022/12/13 申報
- 申報編號
- 0001410939-22-000127
- 申報時間
- 2022/12/13
- 交易日
- 2022/12/9-12/13
- 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 5 筆非衍生性交易、2 筆衍生性交易。公開市場賣出合計 $19.0 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 |
|---|---|
| Carroll David FrancisCIK 0001703623 | 高階主管（財務長） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2022/12/9 | Common Stock | M行使選擇權取得 | +10,000 | $0.00F1 | $0 | 50,998 | 直接 | |
| 2022/12/12 | Common Stock | S賣出處分 | −2,405 | $20.66F4 | −$49,687.3 | 48,593 | 直接 | |
| 2022/12/12 | Common Stock | S賣出處分 | −1,541 | $21.25F5 | −$32,746.25 | 47,052 | 直接 | |
| 2022/12/12 | Common Stock | M行使選擇權取得 | +12,500 | $0.00F1 | $0 | 59,552 | 直接 | |
| 2022/12/13 | Common Stock | S賣出處分 | −4,932 | $21.73F7 | −$107,172.36 | 54,620 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/12/9 | Common Stock | M行使選擇權處分 | −10,000 | $0.00 | $0 | 10,000 | 直接 | |
| 2022/12/12 | Common Stock | M行使選擇權處分 | −12,500 | $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 converted into common stock on a one-for-one basis upon vesting of the units.
表 I 有 2 筆交易的價格引用這則附註。
- F4
The sale price of the Reporting Person's shares represents the weighted average price of all shares sold by a broker in multiple transactions effected at prices ranging from $20.05 to $20.96 on December 12, 2022 on behalf of a group of employees of the Registrant to satisfy the payment of withholding tax liability of such employees. The Reporting Person undertakes to provide upon request by the staff of the Securities Exchange Commission, the Registrant or a security holder of the Registrant, information regarding the number of shares sold at each price within the range.
表 I 有 1 筆交易的價格引用這則附註。
- F5
The sale price of the Reporting Person's shares represents the price of all shares sold by a broker in multiple transactions effected on December 12, 2022 on behalf of a group of employees of the Registrant to satisfy the payment of withholding tax liability of such employees.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The sale price of the Reporting Person's shares represents the weighted average price of all shares sold by a broker in multiple transactions effected at prices ranging from $21.31 to $22.13 on December 13, 2022 on behalf of a group of employees of the Registrant to satisfy the payment of withholding tax liability of such employees. The Reporting Person undertakes to provide upon request by the staff of the Securities Exchange Commission, the Registrant or a security holder of the Registrant, information regarding the number of shares sold at each price within the range.
表 I 有 1 筆交易的價格引用這則附註。