Ballantyne John 的 Form 4 申報
Glucotrack, Inc.（GCTK），2025/3/31 申報
- 申報編號
- 0001474506-25-000072
- 申報時間
- 2025/3/31
- 交易日
- 2024/7/30-2025/3/26
- 申報延遲
- 244 天遲報
- 10b5-1 計畫
- 沒有勾選
這份申報列了 3 筆非衍生性交易、6 筆衍生性交易。交易後 244 天才申報，超過 2 個營業日的期限。
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 |
|---|---|
| Ballantyne JohnCIK 0001701346 | 董事、持股 10% 以上大股東 |
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 |
|---|---|---|---|---|---|---|---|---|
| 2024/11/14 | Common Stock, par value $0.001 per share | J其他取得 | +132,036 | $31.00 | +$4,093,116 | 183,039 | 間接 | |
| 2025/3/12 | Common Stock, par value $0.001 per share | X行使價內選擇權取得 | +2,560,553 | $0.00 | $0 | 2,743,591 | 間接 | |
| 2025/3/26 | Common Stock, par value $0.001 per share | A公司授予取得 | +4,126 | $0.00 | $0 | 4,126 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2024/7/30 | Common Stock, par value $0.001 per share | P買進取得 | +106,667 | –F1,F2 | – | 106,667 | 間接 | |
| 2024/7/30 | Common Stock, par value $0.001 per share | P買進取得 | +76,191 | –F1,F2 | – | 76,191 | 間接 | |
| 2024/7/30 | Common Stock, par value $0.001 per share | P買進取得 | +59,260 | –F1,F2 | – | 59,260 | 間接 | |
| 2024/11/14 | Common Stock, par value $0.001 per share | A公司授予取得 | +132,036 | –F4 | – | 132,036 | 間接 | |
| 2024/11/14 | Common Stock, par value $0.001 per share | A公司授予取得 | +2,560,553 | –F4 | – | 132,036 | 間接 | |
| 2025/3/12 | Common Stock, par value $0.001 per share | X行使價內選擇權處分 | −2,560,553 | $0.00 | $0 | 0 | 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。
- F1
On July 30, 2024, the issuer entered into a convertible promissory note and three warrant agreements (the "Warrants") with the John A. Ballantyne Rev Trust 08/01/2017 (the "Ballantyne Trust"), providing for the private placement of a secured convertible promissory note in the aggregate principal amount of $4,000,000 (the "Note"). The Note did not have a fixed conversion price, and the conversion price was dependent on the market price of the issuer's common stock, par value $0.001 per share (the "Common Stock").
表 II 有 3 筆交易的價格引用這則附註。
- F2
On November 14, 2024, the issuer completed a public offering (the "Offering"). In connection with the Offering, the Ballantyne Trust agreed to convert approximately $4,093,112 of debt, which represented the outstanding principal and accrued interest under the Note, on substantially the same terms as the Offering, resulting in the issuance of 132,036 shares of Common Stock (plus 132,036 accompanying Series A common warrants (the "Series A Common Warrants") and 132,036 accompanying Series B common warrants (the "Series B Common Warrants")), based on a conversion price of $31.00 per share (the "Conversion"), which is equal to the consolidated closing bid price of the Common Stock on the Nasdaq Capital Market on November 12, 2024, the day prior to the date the securities purchase agreement governing the Conversion was executed.
表 II 有 3 筆交易的價格引用這則附註。
- F4
On November 14, 2024, in connection with the Conversion, the Ballantyne Trust was issued Series A Common Warrants to purchase Common Stock and Series B Common Warrants to purchase Common Stock, each at an exercise price of $5.60 per share; provided that, at any time while the Series B Common Warrants are outstanding, the holder could exercise the Series B Common Warrants on a cashless basis pursuant to an alternate cashless exercise option, pursuant to which the holder of the Series B Common Warrant had the right to receive an aggregate number of shares of Common Stock equal to the product of (i) the aggregate number of shares of Common Stock that would be issuable upon a cash exercise rather than a cashless exercise of the Series B Common Warrant and (ii) 3.0 (the "Alternative Cashless Exercise").
表 II 有 2 筆交易的價格引用這則附註。
備註
Note: On May 17, 2024, a 1-for-5 reverse stock split of the Issuer's common stock, par value $0.001 per share (the "Common Stock") was implemented (the "2024 Reverse Split"). On February 25, 2025, a 1-for-20 reverse stock split of the Common Stock was implemented (the "2025 Reverse Split," and together with the 2024 Reverse Split, the "Reverse Stock Splits"). All figures presented in this Form 4 reflect the Reverse Stock Splits.