Kramer Robert Charles 的 Form 4 申報
Appian Corp（APPN），2021/11/9 申報
- 申報編號
- 0001441683-21-000087
- 申報時間
- 2021/11/9
- 交易日
- 2021/11/5-11/8
- 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 8 筆非衍生性交易、2 筆衍生性交易。公開市場賣出合計 $29.5 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 |
|---|---|
| Kramer Robert CharlesCIK 0001707249 | 董事、高階主管（總經理） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/5 | Class A Common Stock | M行使選擇權取得 | +10,000 | $0.00F2 | $0 | 119,225 | 直接 | |
| 2021/11/8 | Class A Common Stock | S賣出處分 | −173 | $92.60F4 | −$16,019.8 | 119,052 | 直接 | |
| 2021/11/8 | Class A Common Stock | S賣出處分 | −572 | $95.72F5 | −$54,751.84 | 118,480 | 直接 | |
| 2021/11/8 | Class A Common Stock | S賣出處分 | −525 | $96.70F6 | −$50,767.5 | 117,955 | 直接 | |
| 2021/11/8 | Class A Common Stock | S賣出處分 | −1,635 | $97.71F7 | −$159,755.85 | 116,320 | 直接 | |
| 2021/11/8 | Class A Common Stock | S賣出處分 | −110 | $98.20F8 | −$10,802 | 116,210 | 直接 | |
| 2021/11/8 | Class A Common Stock | S賣出處分 | −35 | $93.96 | −$3,288.6 | 116,175 | 直接 | |
| 2021/11/8 | Class A Common Stock | C轉換取得 | +1,120 | $0.00F10,F11 | $0 | 9,120 | 間接 |
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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/5 | Class A Common Stock | M行使選擇權處分 | −10,000 | $0.00 | $0 | 10,000 | 直接 | |
| 2021/11/8 | Class A Common Stock | C轉換處分 | −1,120 | $0.00 | $0 | 2,213,478 | 間接 |
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。
- F2
Each RSU converts into Class A Common Stock on a one-for-one basis.
表 I 有 1 筆交易的價格引用這則附註。
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.49 to $92.87, 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 footnotes (4) - (8).
表 I 有 1 筆交易的價格引用這則附註。
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.14 to $96.13, inclusive.
表 I 有 1 筆交易的價格引用這則附註。
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.14 to $97.12, inclusive.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $97.15 to $98.12, inclusive.
表 I 有 1 筆交易的價格引用這則附註。
- F8
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.15 to $98.26, inclusive.
表 I 有 1 筆交易的價格引用這則附註。
- F10
Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (11))
表 I 有 1 筆交易的價格引用這則附註。
- F11
(continued from Footnote (10)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.
表 I 有 1 筆交易的價格引用這則附註。