Statement of Changes in Beneficial Ownership (4)
28 Outubro 2022 - 07:11PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * MORA
RICHARD |
2. Issuer Name and Ticker or Trading
Symbol Enphase Energy, Inc. [ ENPH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
(Last)
(First)
(Middle)
C/O ENPHASE ENERGY, INC., 47281 BAYSIDE PARKWAY |
3. Date of Earliest Transaction (MM/DD/YYYY)
10/27/2022
|
(Street)
FREMONT, CA 94538
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
10/27/2022 |
|
M |
|
5840 |
A |
$0.70 |
7440 |
D |
|
Common Stock |
10/27/2022 |
|
M |
|
7160 |
A |
$5.53 |
14600 |
D |
|
Common Stock |
10/27/2022 |
|
S |
|
3500 |
D |
$307.5569 (1) |
11100 |
D |
|
Common Stock |
10/27/2022 |
|
S |
|
3479 |
D |
$308.6481 (2) |
7621 |
D |
|
Common Stock |
10/27/2022 |
|
S |
|
6021 |
D |
$309.6325 (3) |
1600 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right to Buy) (4) |
$0.7 |
10/27/2022 |
|
M |
|
|
5840 |
(5) |
5/17/2024 |
Common Stock |
5840.0 |
$0 |
0 |
D |
|
Stock Option (Right to Buy) (4) |
$5.53 |
10/27/2022 |
|
M |
|
|
7160 |
(6) |
5/17/2025 |
Common Stock |
7160.0 |
$0 |
17794 |
D |
|
Explanation of
Responses: |
(1) |
Represents a weighted
average sales price per share. These shares were sold in multiple
transactions at prices ranging from $307.07 to $308.03. The
reporting person has provided to the issuer, and undertakes to
provide to the staff of the Commission or any security holder of
the issuer, upon request, full information regarding the number of
shares sold at each separate price within the range. |
(2) |
Represents a weighted
average sales price per share. These shares were sold in multiple
transactions at prices ranging from $308.145 to $309.14. The
reporting person has provided to the issuer, and undertakes to
provide to the staff of the Commission or any security holder of
the issuer, upon request, full information regarding the number of
shares sold at each separate price within the range. |
(3) |
Represents a weighted
average sales price per share. These shares were sold in multiple
transactions at prices ranging from $309.21 to $310.12. The
reporting person has provided to the issuer, and undertakes to
provide to the staff of the Commission or any security holder of
the issuer, upon request, full information regarding the number of
shares sold at each separate price within the range. |
(4) |
Issued pursuant to the 2011
Equity Incentive Plan. |
(5) |
Such option will vest in
twelve (12) equal monthly installments from the grant date, such
that the option is fully vested on the one-year anniversary of the
date of grant, subject to the Director's Continuous Service (as
defined in the 2011 Equity Incentive Plan). |
(6) |
Such option will vest in 12
equal monthly installments from the grant date, such that the
option is fully vested on the one-year anniversary of the date of
grant, subject to the Director's Continuous Service (as defined in
the 2011 Equity Incentive Plan). |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
MORA RICHARD
C/O ENPHASE ENERGY, INC.
47281 BAYSIDE PARKWAY
FREMONT, CA 94538 |
X |
|
|
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Signatures
|
/s/ Lisan Hung, Attorney-in-Fact for Richard
Mora |
|
10/28/2022 |
**Signature of
Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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