InsiderTrades

Form 4 for TMC TMC the metals Co Inc.

Accepted 2022-07-18 00:00:00 ET · period of report 2021-12-24 · accession 0001104659-22-080575 · 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 2022-07-18 2022-06-01 TMC Stryker Gina Dir A - Grant $0.00 +68.0K 227.6K +43% $0
DM 2022-07-18 2021-12-24 TMC Stryker Gina Dir J - Other — +697.4K 16.8K New —

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Shares 2022-06-01 A A 68,027 $0.00 227,643 D — — (F1) Pursuant to the Issuer's Nonemployee Director Compensation Policy, the Reporting Person was granted restricted stock units ("RSUs") under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the right to receive one common share upon vesting. The RSU shall vest on the date of the Issuer's 2023 annual meeting of shareholders, subject to the Reporting Person's continued service through the vesting date. (F2) Includes 151,584 Common Shares received in a pro rata distribution from Sustainable Opportunities Holdings LLC, in which the Reporting Person does not have a controlling interest, to its members on December 24, 2022.
2 Derivative Class I Special Shares 2021-12-24 J A 33,507 — 11,365 D — · — to — 33,507 Common Shares (F6) (i) 11,365 Class I Special Shares held by the Reporting Person, (ii) 11,071 Class I Special Shares held by the Gina Thomas Stryker 2008 Children's Trust U/A DTD 12/09/2008 JRT and (iii) 11,071 Class I Special Shares held by the Gina Thomas Stryker 2008 Children's Trust U/A DTD 12/09/2008 MET, in each case, were received in a pro rata distribution from Sustainable Opportunities Holdings LLC, in which the Reporting Person does not have a controlling interest, to its members on December 24, 2022. The Reporting Person is the trustee of each of these trusts. The Class I Special Shares are automatically convertible into Common Shares on a one-for-one basis if the Common Shares trade for at least $50.00 per share on any twenty trading days in any thirty trading day period or in the event of certain changes of control.
3 Derivative Warrant to purchase Common Shares 2021-12-24 J A 614,277 — 209,221 D $11.50 · — to — 614,277 Common Shares (F4) (i) warrants to purchase 209,221 Common Shares held by the Reporting Person, (ii) warrants to purchase 202,528 Common Shares held by the Gina Thomas Stryker 2008 Children's Trust U/A DTD 12/09/2008 JRT and (iii) warrants to purchase 202,528 Common Shares held by the Gina Thomas Stryker 2008 Children's Trust U/A DTD 12/09/2008 MET, in each case, were received in a pro rata distribution from Sustainable Opportunities Holdings LLC, in which the Reporting Person does not have a controlling interest, to its members on December 24, 2022. (F5) The Reporting Person is the trustee of each of these trusts. The warrants are subject to the Warrant Agreement dated as of May 8, 2020 between the Issuer and Continental Stock Transfer & Trust Company, as warrant agent, and may be exercised only during the period commencing 30 days after September 9, 2021, the completion of the initial business combination (the "Business Combination") of Sustainable Opportunities Acquisition Corp. (the former name of the Issuer) with DeepGreen Metals Inc. and expire five years after the completion of the Business Combination or earlier upon redemption or liquidation.
4 Derivative Class J Special Shares 2021-12-24 J A 49,659 — 16,843 D — · — to — 49,659 Common Shares (F7) (i) 16,843 Class J Special Shares held by the Reporting Person, (ii) 16,408 Class J Special Shares held by the Gina Thomas Stryker 2008 Children's Trust U/A DTD 12/09/2008 JRT and (iii) 16,408 Class J Special Shares held by the Gina Thomas Stryker 2008 Children's Trust U/A DTD 12/09/2008 MET, in each case, were received in a pro rata distribution from Sustainable Opportunities Holdings LLC, in which the Reporting Person does not have a controlling interest, to its members on December 24, 2022. The Reporting Person is the trustee of each of these trusts. The Class J Special Shares are automatically convertible into Common Shares on a one-for-one basis if the Common Shares trade for at least $12.00 per share on any twenty trading days in any thirty trading day period or in the event of certain changes of control.