Form 4 for AMPX Amprius Technologies, Inc.
Accepted 2022-09-16 00:00:00 ET · period of report 2022-09-14 · accession 0000899243-22-031387 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-09-16 | 2022-09-14 | AMPX | Kensington Capital Sponsor IV LLC | Former 10% holder (see ftn 2) | C - Cnv Deriv | — | +9.86M | 13.12M | +302% | — |
| D | 2022-09-16 | 2022-09-14 | AMPX | Kensington Capital Sponsor IV LLC | Former 10% holder (see ftn 2) | J - Other | $0.00 | -13.12M | 0 | -100% | $0 |
| DM | 2022-09-16 | 2022-09-14 | AMPX | Kensington Capital Sponsor IV LLC | Former 10% holder (see ftn 2) | J - Other | $0.00 | 0 | 16.00M | New | $0 |
| D | 2022-09-16 | 2022-09-14 | AMPX | Kensington Capital Sponsor IV LLC | Former 10% holder (see ftn 2) | C - Cnv Deriv | $0.00 | -9.86M | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-09-14 | C | A | 9,857,142 | — | 13,124,642 | D | — | — | (F1) Upon completion of the Issuer's business combination transaction, the Issuer's Class B Ordinary Shares converted into shares of Common Stock of the Issuer. At the time the Class B shares were issued, the Issuer was a Cayman Islands exempted company incorporated with limited liability named "Kensington Capital Acquisition Corp. IV." In connection with a business combination transaction, the Issuer became a Delaware corporation and changed its name to "Amprius Technologies, Inc." |
| 2 | Common | Common Stock | 2022-09-14 | J | D | 13,124,642 | $0.00 | 0 | D | — | — | (F2) The securities were distributed in-kind, pro-rata and for no additional consideration to the members of Kensington Capital Sponsor IV LLC in connection with its liquidating distribution. As a result of the transaction reported herein, the Reporting Person is no longer a 10% holder of the issuer. |
| 3 | Derivative | Warrants (right to buy) | 2022-09-14 | J | D | 6,535,000 | $0.00 | 0 | D | $11.50 · — to 2027-09-14 | 6,535,000 Common Stock | (F4) The securities become exercisable on October 14, 2022, provided that in no event are the securities exercisable unless a registration statement registering the shares issuable upon exercise thereof has been declared effective (or, in the case of all of the warrants in Table II, until the 61st business day following the closing of the foregoing business combination if such a registration statement has not previously been declared effective). |
| 4 | Derivative | Warrants (right to buy) | 2022-09-14 | J | D | 16,000,000 | $0.00 | 0 | D | $11.50 · — to 2027-09-14 | 16,000,000 Common Stock | (F4) The securities become exercisable on October 14, 2022, provided that in no event are the securities exercisable unless a registration statement registering the shares issuable upon exercise thereof has been declared effective (or, in the case of all of the warrants in Table II, until the 61st business day following the closing of the foregoing business combination if such a registration statement has not previously been declared effective). |
| 5 | Derivative | Warrants (right to buy) | 2022-09-14 | J | A | 6,535,000 | $0.00 | 6,535,000 | D | $11.50 · — to 2027-09-14 | 6,535,000 Common Stock | (F4) The securities become exercisable on October 14, 2022, provided that in no event are the securities exercisable unless a registration statement registering the shares issuable upon exercise thereof has been declared effective (or, in the case of all of the warrants in Table II, until the 61st business day following the closing of the foregoing business combination if such a registration statement has not previously been declared effective). |
| 6 | Derivative | Warrants (right to buy) | 2022-09-14 | J | A | 16,000,000 | $0.00 | 16,000,000 | D | $11.50 · — to 2027-09-14 | 16,000,000 Common Stock | (F4) The securities become exercisable on October 14, 2022, provided that in no event are the securities exercisable unless a registration statement registering the shares issuable upon exercise thereof has been declared effective (or, in the case of all of the warrants in Table II, until the 61st business day following the closing of the foregoing business combination if such a registration statement has not previously been declared effective). |
| 7 | Derivative | Class B Ordinary Shares | 2022-09-14 | C | D | 9,857,142 | $0.00 | 0 | D | — · — to — | 9,857,142 Common Stock | (F1) Upon completion of the Issuer's business combination transaction, the Issuer's Class B Ordinary Shares converted into shares of Common Stock of the Issuer. At the time the Class B shares were issued, the Issuer was a Cayman Islands exempted company incorporated with limited liability named "Kensington Capital Acquisition Corp. IV." In connection with a business combination transaction, the Issuer became a Delaware corporation and changed its name to "Amprius Technologies, Inc." |