Russell Mark A 的 Form 4 申報
Nikola Corp（NKLA），2022/10/11 申報
- 申報編號
- 0001731289-22-000227
- 申報時間
- 2022/10/11
- 交易日
- 2022/10/6-10/10
- 申報延遲
- 5 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、3 筆衍生性交易。公開市場賣出合計 $74.4 萬。交易後 5 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 |
|---|---|
| Russell Mark ACIK 0001389418 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/10/6 | Common Stock | M行使選擇權取得 | +75,000 | $1.06 | +$79,500 | 2,887,346 | 直接 | |
| 2022/10/6 | Common Stock | S賣出處分 | −1,500 | $3.60F2 | −$5,400 | 2,885,846 | 直接 | |
| 2022/10/6 | Common Stock | S賣出處分 | −73,500 | $3.60F3 | −$264,600 | 2,812,346 | 直接 | |
| 2022/10/7 | Common Stock | M行使選擇權取得 | +75,000 | $1.06 | +$79,500 | 2,887,346 | 直接 | |
| 2022/10/7 | Common Stock | S賣出處分 | −1,500 | $3.31F4 | −$4,965 | 2,885,846 | 直接 | |
| 2022/10/7 | Common Stock | S賣出處分 | −73,500 | $3.31F5 | −$243,285 | 2,812,346 | 直接 | |
| 2022/10/10 | Common Stock | M行使選擇權取得 | +75,000 | $1.06 | +$79,500 | 2,887,346 | 直接 | |
| 2022/10/10 | Common Stock | S賣出處分 | −1,500 | $3.01F6 | −$4,515 | 2,885,846 | 直接 | |
| 2022/10/10 | Common Stock | S賣出處分 | −73,500 | $3.01F7 | −$221,235 | 2,812,346 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/10/6 | Common Stock | M行使選擇權處分 | −75,000 | $0.00 | $0 | 7,477,185 | 直接 | |
| 2022/10/7 | Common Stock | M行使選擇權處分 | −75,000 | $0.00 | $0 | 7,402,185 | 直接 | |
| 2022/10/10 | Common Stock | M行使選擇權處分 | −75,000 | $0.00 | $0 | 7,327,185 | 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。
- F2
This transaction was executed in multiple trades at prices ranging from $3.53 to $3.78. 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 transactions were effected.
表 I 有 1 筆交易的價格引用這則附註。
- F3
This transaction was executed in multiple trades at prices ranging from $3.53 to $3.79. 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 transactions were effected.
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 $3.23 to $3.41. 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 transactions were effected.
表 I 有 1 筆交易的價格引用這則附註。
- F5
This transaction was executed in multiple trades at prices ranging from $3.23 to $3.46. 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 transactions were effected.
表 I 有 1 筆交易的價格引用這則附註。
- F6
This transaction was executed in multiple trades at prices ranging from $2.93 to $3.18. 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 transactions were effected.
表 I 有 1 筆交易的價格引用這則附註。
- F7
This transaction was executed in multiple trades at prices ranging from $2.89 to $3.19. 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 transactions were effected.
表 I 有 1 筆交易的價格引用這則附註。