Form 4 for CRDO Credo Technology Group Holding Ltd
Accepted 2022-02-02 00:00:00 ET · period of report 2022-01-31 · accession 0000950103-22-001940 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2022-02-02 | 2022-01-31 | CRDO | TAN LIP BU | Dir | C - Cnv Deriv | — | +10.06M | 253.7K | New | — |
| DMI | 2022-02-02 | 2022-01-31 | CRDO | TAN LIP BU | Dir | C - Cnv Deriv | $0.00 | -10.06M | 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 | Ordinary Shares | 2022-01-31 | C | A | 200,276 | — | 5,587,122 | I Celesta Capital II, L.P. | — | — | (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. (F2) The Reporting Person is the Managing Director of Celesta Capital GP II, Ltd., which is the general partner of Celesta Capital II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. Represents restricted stock units that will vest over a period of four years subject to continued employment through each vesting date. |
| 2 | Common | Ordinary Shares | 2022-01-31 | C | A | 324,405 | — | 5,911,527 | I Celesta Capital II, L.P. | — | — | (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. (F2) The Reporting Person is the Managing Director of Celesta Capital GP II, Ltd., which is the general partner of Celesta Capital II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. Represents restricted stock units that will vest over a period of four years subject to continued employment through each vesting date. |
| 3 | Common | Ordinary Shares | 2022-01-31 | C | A | 1,500,000 | — | 3,000,000 | I China Walden Venture Investments II, L.P. | — | — | (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. (F3) The Reporting Person is the Managing Director of China Walden Venture Investment II G.P., Ltd., which is the general partner of China Walden Venture Investments II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. |
| 4 | Common | Ordinary Shares | 2022-01-31 | C | A | 1,193,423 | — | 4,193,423 | I China Walden Venture Investments II, L.P. | — | — | (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. (F3) The Reporting Person is the Managing Director of China Walden Venture Investment II G.P., Ltd., which is the general partner of China Walden Venture Investments II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. |
| 5 | Common | Ordinary Shares | 2022-01-31 | C | A | 500,658 | — | 4,694,081 | I China Walden Venture Investments II, L.P. | — | — | (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. (F3) The Reporting Person is the Managing Director of China Walden Venture Investment II G.P., Ltd., which is the general partner of China Walden Venture Investments II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. |
| 6 | Common | Ordinary Shares | 2022-01-31 | C | A | 160,220 | — | 160,220 | I A&E Investment LLC | — | — | (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. (F4) The Reporting Person is the Manager of A&E Investment LLC, an entity owned by the Reporting Person's family trust for which the Reporting Person is a joint trustee. |
| 7 | Common | Ordinary Shares | 2022-01-31 | C | A | 1,500,000 | — | 3,000,000 | I Celesta Capital II, L.P. | — | — | (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. (F2) The Reporting Person is the Managing Director of Celesta Capital GP II, Ltd., which is the general partner of Celesta Capital II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. Represents restricted stock units that will vest over a period of four years subject to continued employment through each vesting date. |
| 8 | Common | Ordinary Shares | 2022-01-31 | C | A | 2,386,846 | — | 5,386,846 | I Celesta Capital II, L.P. | — | — | (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. (F2) The Reporting Person is the Managing Director of Celesta Capital GP II, Ltd., which is the general partner of Celesta Capital II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. Represents restricted stock units that will vest over a period of four years subject to continued employment through each vesting date. |
| 9 | Common | Ordinary Shares | 2022-01-31 | C | A | 658,236 | — | 2,200,363 | I Celesta Capital III, L.P. | — | — | (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. (F5) The Reporting Person is the Managing Director of Celesta Capital GP III, LLC, which is the general partner of Celesta Capital III, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. |
| 10 | Common | Ordinary Shares | 2022-01-31 | C | A | 1,542,127 | — | 1,542,127 | I Celesta Capital III, L.P. | — | — | (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. (F5) The Reporting Person is the Managing Director of Celesta Capital GP III, LLC, which is the general partner of Celesta Capital III, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. |
| 11 | Common | Ordinary Shares | 2022-01-31 | C | A | 93,516 | — | 253,736 | I A&E Investment LLC | — | — | (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. (F4) The Reporting Person is the Manager of A&E Investment LLC, an entity owned by the Reporting Person's family trust for which the Reporting Person is a joint trustee. |
| 12 | Derivative | Series D+ Convertible Preferred Shares | 2022-01-31 | C | D | 93,516 | $0.00 | 0 | I A&E Investment LLC | — · — to — | 93,516 Ordinary Shares | (F4) The Reporting Person is the Manager of A&E Investment LLC, an entity owned by the Reporting Person's family trust for which the Reporting Person is a joint trustee. (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. |
| 13 | Derivative | Series D Convertible Preferred Shares | 2022-01-31 | C | D | 1,542,127 | $0.00 | 0 | I Celesta Capital III, L.P. | — · — to — | 1,542,127 Ordinary Shares | (F5) The Reporting Person is the Managing Director of Celesta Capital GP III, LLC, which is the general partner of Celesta Capital III, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. |
| 14 | Derivative | Series D+ Convertible Preferred Shares | 2022-01-31 | C | D | 658,236 | $0.00 | 0 | I Celesta Capital III, L.P. | — · — to — | 658,236 Ordinary Shares | (F5) The Reporting Person is the Managing Director of Celesta Capital GP III, LLC, which is the general partner of Celesta Capital III, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. |
| 15 | Derivative | Series B Convertible Preferred Shares | 2022-01-31 | C | D | 2,386,846 | $0.00 | 0 | I Celesta Capital II, L.P. | — · — to — | 2,386,846 Ordinary Shares | (F2) The Reporting Person is the Managing Director of Celesta Capital GP II, Ltd., which is the general partner of Celesta Capital II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. Represents restricted stock units that will vest over a period of four years subject to continued employment through each vesting date. (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. |
| 16 | Derivative | Series D Convertible Preferred Shares | 2022-01-31 | C | D | 200,276 | $0.00 | 0 | I Celesta Capital II, L.P. | — · — to — | 200,276 Ordinary Shares | (F2) The Reporting Person is the Managing Director of Celesta Capital GP II, Ltd., which is the general partner of Celesta Capital II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. Represents restricted stock units that will vest over a period of four years subject to continued employment through each vesting date. (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. |
| 17 | Derivative | Series D+ Convertible Preferred Shares | 2022-01-31 | C | D | 324,405 | $0.00 | 0 | I Celesta Capital II, L.P. | — · — to — | 324,405 Ordinary Shares | (F2) The Reporting Person is the Managing Director of Celesta Capital GP II, Ltd., which is the general partner of Celesta Capital II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. Represents restricted stock units that will vest over a period of four years subject to continued employment through each vesting date. (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. |
| 18 | Derivative | Series A Convertible Preferred Shares | 2022-01-31 | C | D | 1,500,000 | $0.00 | 0 | I China Walden Venture Investments II, L.P. | — · — to — | 1,500,000 Ordinary Shares | (F3) The Reporting Person is the Managing Director of China Walden Venture Investment II G.P., Ltd., which is the general partner of China Walden Venture Investments II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. |
| 19 | Derivative | Series B Convertible Preferred Shares | 2022-01-31 | C | D | 1,193,423 | $0.00 | 0 | I China Walden Venture Investments II, L.P. | — · — to — | 1,193,423 Ordinary Shares | (F3) The Reporting Person is the Managing Director of China Walden Venture Investment II G.P., Ltd., which is the general partner of China Walden Venture Investments II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. |
| 20 | Derivative | Series D Convertible Preferred Shares | 2022-01-31 | C | D | 160,220 | $0.00 | 0 | I A&E Investment LLC | — · — to — | 160,220 Ordinary Shares | (F4) The Reporting Person is the Manager of A&E Investment LLC, an entity owned by the Reporting Person's family trust for which the Reporting Person is a joint trustee. (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. |
| 21 | Derivative | Series D+ Convertible Preferred Shares | 2022-01-31 | C | D | 500,658 | $0.00 | 0 | I China Walden Venture Investments II, L.P. | — · — to — | 500,658 Ordinary Shares | (F3) The Reporting Person is the Managing Director of China Walden Venture Investment II G.P., Ltd., which is the general partner of China Walden Venture Investments II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. |
| 22 | Derivative | Series A Convertible Preferred Shares | 2022-01-31 | C | D | 1,500,000 | $0.00 | 0 | I Celesta Capital II, L.P. | — · — to — | 1,500,000 Ordinary Shares | (F2) The Reporting Person is the Managing Director of Celesta Capital GP II, Ltd., which is the general partner of Celesta Capital II, L.P. The Reporting Person disclaims beneficial ownership of these indirectly held shares except to the extent of any pecuniary interest therein. Represents restricted stock units that will vest over a period of four years subject to continued employment through each vesting date. (F1) Each Series A Convertible Preferred Share, Series B Convertible Preferred Share, Series D Convertible Preferred Share and Series D+ Convertible Preferred Share (collectively, the "Preferred Shares) is convertible into Ordinary Shares of the Issuer on a one-for-one basis and has no expiration date. Effective immediately prior to the closing of the Issuer's initial public offering, each Preferred Share automatically converted into one Ordinary Share. |