Breaux Paul W. 的 Form 4 申報

Carvana Co.（CVNA），2021/8/10 申報

申報編號: 0001690820-21-000244
申報時間: 2021/8/10
交易日: 2021/8/6-8/10
申報延遲: 4 天
10b5-1 計畫: 表單沒有這欄（2023 年以前）

SEC EDGAR 原文（在新分頁開啟）

這份申報列了 4 筆非衍生性交易、2 筆衍生性交易。公開市場賣出合計 $333.2 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。

這份申報的申報人
申報人	與公司的關係
Breaux Paul W.CIK 0001700545	高階主管（見申報備註）

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。

非衍生性證券的交易
交易日	證券	交易	股數	價格	金額	交易後持股	持有方式
2021/8/9	Class A Common Stock	C轉換取得	+4,000	$0.00^F1,F2	$0	33,417	直接
2021/8/6	Class A Common Stock	S賣出處分	−4,000	$365.50^F1	−$1,462,000	29,417	直接
2021/8/10	Class A Common Stock	C轉換取得	+5,000	$0.00^F2,F3	$0	34,417	直接
2021/8/10	Class A Common Stock	S賣出處分	−5,000	$374.00^F3	−$1,870,000	29,417	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。

衍生性證券的交易
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
2021/8/9	Class A Common Stock	C轉換處分	−4,000	$4.88^F4	−$24,853.84	73,589	直接
2021/8/10	Class A Common Stock	C轉換處分	−5,000	$4.88^F4	−$31,046.56	67,227	直接

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。

The reported sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 5, 2020. The Reporting Person acquired the Class A Common Stock on August 9, 2021 by exchanging 5,093 Class B common units of Carvana Group, LLC ("Class B Units") for 4,000 shares of Class A Common Stock pursuant to an exchange agreement among the Issuer and certain common unit holders of Carvana Group, LLC, dated April 27, 2017 (the "Exchange Agreement").

表 I 有 2 筆交易的價格引用這則附註。

The Exchange Agreement permits holders of Class B Units to exchange their Class B Units for a number of shares of the Issuer's Class A Common Stock equal to the Class A Common Stock Value less the Adjusted Participation Threshold (as each term is defined in the Exchange Agreement) multiplied by 0.8 times the number of Class B Units being exchanged, divided by the Class A Common Stock Value.

表 I 有 2 筆交易的價格引用這則附註。

The reported sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 5, 2020. The Reporting Person acquired the Class A Common Stock on August 10, 2021 by exchanging 6,362 Class B common units of Carvana Group, LLC ("Class B Units") for 5,000 shares of Class A Common Stock pursuant to an exchange agreement among the Issuer and certain common unit holders of Carvana Group, LLC, dated April 27, 2017 (the "Exchange Agreement").

表 I 有 2 筆交易的價格引用這則附註。

The exchanged Class B Units have a participation threshold of $4.878. The Class B Units have no expiration date.

表 II 有 2 筆交易的價格引用這則附註。

備註

Vice President, General Counsel, & Secretary

看 SEC EDGAR 上的完整原文（在新分頁開啟）