Walters-Hoffert Lisa 的 Form 4/A 修正申報
修正Flux Power Holdings, Inc.（FLUX），2024/4/30 申報
- 申報編號
- 0001493152-24-017314
- 申報時間
- 2024/4/30
- 交易日
- 2024/4/18-4/22
- 申報延遲
- 12 天
- 10b5-1 計畫
- 有勾選
- 原始申報日
- 2024/4/22
這份申報列了 2 筆非衍生性交易、2 筆衍生性交易。公開市場賣出合計 $2.38 萬。交易後 12 天申報。
這份修正申報取代了 0001493152-24-015623（2024/4/22 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 |
|---|---|
| Walters-Hoffert LisaCIK 0001711576 | 董事 |
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。
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。
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
Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.
- F2
This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.
表 I 有 1 筆、表 II 有 1 筆交易的價格引用這則附註。
- F3
This transaction was entered into pursuant to a Rule 10b5-1 trading plan previously adopted by Lisa Walters-Hoffert on June 13, 2023.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $4.02 to $4.10, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.
表 I 有 1 筆交易的價格引用這則附註。
- F5
Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.
表 II 有 1 筆交易的價格引用這則附註。
- F6
The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.
表 I 有 1 筆交易的價格引用這則附註。
備註
Exhibit 24 - Power of Attorney (previously filed as Exhibit 24 to Form 4 dated April 29, 2024). This Form 4/A is being filed to clarify that the sale reported was to satisfy tax withholding obligations in connection with the vesting and settlement of the RSUs to be funded by a "sell to cover" transaction.