Houston Andrew 的 Form 4 申報
Dropbox, Inc.（DBX），2022/10/12 申報
- 申報編號
- 0001562180-22-007168
- 申報時間
- 2022/10/12
- 交易日
- 2022/10/10-10/11
- 申報延遲
- 2 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 9 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $2,015 萬。交易後 2 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 |
|---|---|
| Houston AndrewCIK 0001734563 | 董事、高階主管（執行長）、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 |
|---|---|---|---|---|---|---|---|---|
| 2022/10/10 | Class A Common Stock | C轉換取得 | +150,000 | $0.00F1 | $0 | 866,728 | 間接 | |
| 2022/10/10 | Class A Common Stock | S賣出處分 | −149,300 | $20.46F4 | −$3,054,678 | 717,428 | 間接 | |
| 2022/10/10 | Class A Common Stock | S賣出處分 | −700 | $21.13F5 | −$14,791 | 716,728 | 間接 | |
| 2022/10/10 | Class A Common Stock | S賣出處分 | −273,426 | $20.43F4 | −$5,586,093.18 | 9,023,691 | 直接 | |
| 2022/10/10 | Class A Common Stock | S賣出處分 | −800 | $21.14F5 | −$16,912 | 9,022,891 | 直接 | |
| 2022/10/10 | Class A Common Stock | S賣出處分 | −272,249 | $20.43F4 | −$5,562,047.07 | 227,751 | 間接 | |
| 2022/10/10 | Class A Common Stock | S賣出處分 | −200 | $21.15 | −$4,230 | 227,551 | 間接 | |
| 2022/10/11 | Class A Common Stock | S賣出處分 | −52,551 | $20.12F8 | −$1,057,326.12 | 175,000 | 間接 | |
| 2022/10/11 | Class A Common Stock | S賣出處分 | −240,999 | $20.13F8 | −$4,851,309.87 | 8,781,892 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/10/10 | Class A Common Stock | C轉換處分 | −150,000 | $0.00 | $0 | 7,743,764 | 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
150,000 shares of Class B Common Stock were converted into 150,000 shares of Class A Common Stock at the election of the Reporting Person and had no expiration date.
表 I 有 1 筆交易的價格引用這則附註。
- F4
This transaction was executed in multiple trades at prices ranging from $20.12 to $21.11. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
表 I 有 3 筆交易的價格引用這則附註。
- F5
This transaction was executed in multiple trades at prices ranging from $21.12 to $21.15. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
表 I 有 2 筆交易的價格引用這則附註。
- F8
This transaction was executed in multiple trades at prices ranging from $19.89 to $20.48. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
表 I 有 2 筆交易的價格引用這則附註。