Rosenthal Bennett 的 Form 4 申報
Ares Management Corp（ARES），2022/10/27 申報
- 申報編號
- 0001628280-22-027254
- 申報時間
- 2022/10/27
- 交易日
- 2022/10/14-10/26
- 申報延遲
- 13 天遲報
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 6 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $1,435 萬。交易後 13 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 |
|---|---|
| Rosenthal BennettCIK 0001304465 | 董事、高階主管（Co-Founder & Co-Chair of PEG） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2022/10/14 | Class A Common Stock | C轉換取得 | +500,000 | $0.00 | $0 | 500,000 | 間接 | 重複申報 |
| 2022/10/25 | Class A Common Stock | S賣出處分 | −65,954 | $70.42F2 | −$4,644,480.68 | 434,046 | 間接 | |
| 2022/10/25 | Class A Common Stock | S賣出處分 | −57,017 | $71.39F3 | −$4,070,443.63 | 377,029 | 間接 | |
| 2022/10/26 | Class A Common Stock | S賣出處分 | −16,627 | $72.29F4 | −$1,201,965.83 | 360,402 | 間接 | |
| 2022/10/26 | Class A Common Stock | S賣出處分 | −39,357 | $73.17F5 | −$2,879,751.69 | 321,045 | 間接 | |
| 2022/10/26 | Class A Common Stock | S賣出處分 | −21,045 | $73.80F6 | −$1,553,121 | 300,000 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/10/14 | Class A Common Stock | C轉換取得 | +500,000 | –F8 | – | 9,921,596 | 間接 | 重複申報 |
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
The price reported in Column 4 is a weighted average price. These shares were sold on October 25, 2022 in multiple transactions at prices ranging from $70.00 to $70.99. 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 this footnote and footnotes 3, 4, 5 and 6.
表 I 有 1 筆交易的價格引用這則附註。
- F3
The price reported in Column 4 is a weighted average price. These shares were sold on October 25, 2022 in multiple transactions at prices ranging from $71.00 to $71.84.
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 on October 26, 2022 in multiple transactions at prices ranging from $71.64 to $72.63.
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 on October 26, 2022 in multiple transactions at prices ranging from $72.64 to $73.63.
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 on October 26, 2022 in multiple transactions at prices ranging from $73.64 to $74.02.
表 I 有 1 筆交易的價格引用這則附註。
- F8
Pursuant to the terms of the Fifth Amended and Restated Exchange Agreement, dated as of April 1, 2021, among Ares Management Corporation, Ares Holdings L.P. and each Ares Operating Group Limited Partner (as defined in the exchange agreement), and subject to certain requirements and restrictions, the partnership units of the Ares Operating Group ("AOG units") are exchangeable for shares of Class A Common Stock on a one-for-one basis.
表 II 有 1 筆交易的價格引用這則附註。
備註
Exhibit 24 - Power of Attorney