Form 4 for QS QuantumScape Corp
Accepted 2021-12-09 00:00:00 ET · period of report 2021-12-07 · accession 0001209191-21-068878 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-12-09 | 2021-12-07+ | QS | MCCARTHY MICHAEL O III | CLO | S - Sale+OE | $26.34 | -143.0K | 422.0K | -25% | -$3.77M |
| DM | 2021-12-09 | 2021-12-07+ | QS | MCCARTHY MICHAEL O III | CLO | M - OptEx | $0.4105 | +40.4K | 473.3K | +9% | +$16.6K |
| DMI | 2021-12-09 | 2021-12-07+ | QS | MCCARTHY MICHAEL O III | CLO | S - Sale+OE | $26.06 | -266.6K | 133.4K | -67% | -$6.95M |
| DM | 2021-12-09 | 2021-12-07+ | QS | MCCARTHY MICHAEL O III | CLO | M - OptEx | $0.00 | -143.0K | 470.4K | -23% | $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 | Class A Common Stock | 2021-12-07 | S | D | 60,936 | $26.55 | 422,045 | D By: Chesapeake Trust, dated June 18 2021, Jennifer McCarthy and Owen Desmon McCarthy as Co-Trustees | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.50 to $26.68, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. |
| 2 | Common | Class A Common Stock | 2021-12-07 | M | A | 60,936 | $0.64 | 482,981 | D By: Chesapeake Trust, dated June 18 2021, Jennifer McCarthy and Owen Desmon McCarthy as Co-Trustees | — | — | (F2) Includes 944 shares purchased under the Issuer's Employee Stock Purchase Plan in December 2021. |
| 3 | Common | Class A Common Stock | 2021-12-07 | S | D | 60,387 | $26.55 | 339,613 | I By: Chesapeake Trust, dated June 18 2021, Jennifer McCarthy and Owen Desmon McCarthy as Co-Trustees | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.50 to $26.67, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. |
| 4 | Common | Class A Common Stock | 2021-12-08 | M | A | 17,930 | $0.64 | 439,975 | D | — | — | |
| 5 | Common | Class A Common Stock | 2021-12-08 | M | A | 12,862 | $0.64 | 452,837 | D | — | — | |
| 6 | Common | Class A Common Stock | 2021-12-08 | S | D | 30,792 | $26.26 | 422,045 | D | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.25 to $26.325, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. |
| 7 | Common | Class A Common Stock | 2021-12-08 | S | D | 47,320 | $26.26 | 292,293 | I | — | — | (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.25 to $26.35, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. |
| 8 | Common | Class A Common Stock | 2021-12-09 | S | D | 158,857 | $25.82 | 133,436 | I | — | — | (F9) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.50 to $26.37, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. |
| 9 | Common | Class A Common Stock | 2021-12-09 | S | D | 51,279 | $26.14 | 422,045 | D | — | — | (F7) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.00 to $26.37, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. (F8) Includes 351,903 shares represented by RSUs. Each RSU represents the Reporting Person's right to receive one share of Class A Common Stock of the Issuer. A portion of the RSUs vest each quarter, subject to the Reporting Person's continued service as of each vesting date. |
| 10 | Common | Class A Common Stock | 2021-12-09 | M | D | 51,279 | $0.00 | 473,324 | D | — | — | |
| 11 | Derivative | Stock Option (right to buy) | 2021-12-07 | M | D | 60,936 | $0.00 | 17,930 | D | $0.64 · 2014-04-08 to 2023-05-01 | 60,936 Class B Common Stock | |
| 12 | Derivative | Stock Option (right to buy) | 2021-12-08 | M | D | 17,930 | $0.00 | 0 | D | $0.64 · 2014-04-08 to 2023-05-01 | 17,930 Class B Common Stock | |
| 13 | Derivative | Stock Option (right to buy) | 2021-12-08 | M | D | 12,862 | $0.00 | 521,686 | D | $0.64 · 2014-09-18 to 2023-09-18 | 12,862 Class A Common Stock | |
| 14 | Derivative | Stock Option (right to buy) | 2021-12-09 | M | D | 51,279 | $0.00 | 470,407 | D | $0.64 · 2014-09-18 to 2023-09-18 | 51,279 Class A Common Stock |