Form 4/A for XOS Xos, Inc.
Accepted 2021-11-15 00:00:00 ET · period of report 2021-11-10 · accession 0001209191-21-064621 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DAI | 2021-11-15 | 2021-09-28 | XOS | MATHEW SARA | Dir | A - Grant | — | +296.1K | 296.1K | New | — |
| DMA | 2021-11-15 | 2021-11-10 | XOS | MATHEW SARA | Dir | A - Grant | — | +89.0K | 57.2K | New | — |
| DAI | 2021-11-15 | 2021-09-28 | XOS | MATHEW SARA | Dir | J - Other | — | +200.0K | 200.0K | New | — |
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 | 2021-09-28 | A | A | 296,053 | — | 296,053 | I By Trust | — | — | (F1) Pro rata distribution by NextGen Sponsor LLC of all of its securities of Xos, Inc., which is exempt from Section 16 by 17 CFR 240.16a-9. The transaction is being voluntarily reported for informational purposes only. (F2) Shares are held by the Jacob Mathew 2020 Irrevocable Trust ("Mathew Trust"), of which the Reporting Person is trustee. |
| 2 | Derivative | Restricted Stock Unit | 2021-11-10 | A | A | 31,794 | — | 31,794 | D | — · — to — | 31,794 Common Stock | (F4) The price is N/A. (F7) The restricted stock units vest on the earlier of (i) the first anniversary of the Grant Date and (ii) the day before the next annual meeting of Xos, Inc. following the Grant Date, subject to such individual's continuous service with Xos, Inc. through the vesting date. (F6) Date is N/A. |
| 3 | Derivative | Restricted Stock Unit | 2021-11-10 | A | A | 57,229 | — | 57,229 | D | — · — to — | 57,229 Common Stock | (F4) The price is N/A. (F5) The restricted stock units vest in a series of three equal annual installments on each of the first, second and third year anniversaries of the grant date of November 10, 2021 (the "Grant Date"), subject to such individual's continuous service with Xos, Inc. through such vesting date. (F6) Date is N/A. |
| 4 | Derivative | Common Stock Warrant (Right to Buy) | 2021-09-28 | J | A | 199,997 | — | 199,997 | I By Trust | $11.50 · 2021-09-20 to 2026-08-20 | 199,997 Common Stock | (F1) Pro rata distribution by NextGen Sponsor LLC of all of its securities of Xos, Inc., which is exempt from Section 16 by 17 CFR 240.16a-9. The transaction is being voluntarily reported for informational purposes only. (F4) The price is N/A. (F2) Shares are held by the Jacob Mathew 2020 Irrevocable Trust ("Mathew Trust"), of which the Reporting Person is trustee. |