Form 4 for QS QuantumScape Corp
Accepted 2023-03-08 00:00:00 ET · period of report 2023-03-06 · accession 0001209191-23-017439 · 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 | 2023-03-08 | 2023-03-06+ | QS | Singh Jagdeep | CEO, Dir, 10%, COB | C - Cnv Deriv | — | +5.51M | 2.19M | New | — |
| DMI | 2023-03-08 | 2023-03-06 | QS | Singh Jagdeep | CEO, Dir, 10%, COB | G - Gift | $0.00 | 0 | 0 | New | $0 |
| DMI | 2023-03-08 | 2023-03-06+ | QS | Singh Jagdeep | CEO, Dir, 10%, COB | S - Sale | $8.46 | -1.14M | 970.9K | -54% | -$9.61M |
| DM | 2023-03-08 | 2023-03-06+ | QS | Singh Jagdeep | CEO, Dir, 10%, COB | C - Cnv Deriv | — | -1.14M | 2.22M | -34% | — |
| DM | 2023-03-08 | 2023-03-06+ | QS | Singh Jagdeep | CEO, Dir, 10%, COB | M - OptEx | $0.00 | -2.01M | 2.57M | -44% | $0 |
| DMI | 2023-03-08 | 2023-03-06 | QS | Singh Jagdeep | CEO, Dir, 10%, COB | C - Cnv Deriv | — | -4.38M | 0 | -100% | — |
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 | 2023-03-06 | C | A | 478,747 | — | 1,449,624 | I By: The Singh Family TR DTD 10/3/96 | — | — | (F1) Immediately upon disposition, the shares of Class B Common Stock were automatically converted into shares of Class A Common Stock on a one-to-one basis, in accordance with the Issuer's Amended and Restated Certificate of Incorporation. (F4) Immediately prior to the conversion and sale of the shares, such shares were registered in the name of the Reporting Person's family trust. |
| 2 | Common | Class A Common Stock | 2023-03-08 | C | A | 355,000 | — | 1,325,877 | I By: The Singh Family TR DTD 10/3/96 | — | — | (F1) Immediately upon disposition, the shares of Class B Common Stock were automatically converted into shares of Class A Common Stock on a one-to-one basis, in accordance with the Issuer's Amended and Restated Certificate of Incorporation. (F4) Immediately prior to the conversion and sale of the shares, such shares were registered in the name of the Reporting Person's family trust. |
| 3 | Common | Class A Common Stock | 2023-03-06 | G | D | 2,188,411 | $0.00 | 0 | I By Jagdeep Singh 2020 Annuity Trust A dated September 1, 2020 | — | — | |
| 4 | Common | Class A Common Stock | 2023-03-06 | C | A | 2,188,411 | — | 2,188,411 | I By Jagdeep Singh 2020 Annuity Trust A dated September 1, 2020 | — | — | (F1) Immediately upon disposition, the shares of Class B Common Stock were automatically converted into shares of Class A Common Stock on a one-to-one basis, in accordance with the Issuer's Amended and Restated Certificate of Incorporation. |
| 5 | Common | Class A Common Stock | 2023-03-06 | G | A | 2,188,411 | $0.00 | 2,188,411 | I By Trusts | — | — | (F3) The Reporting Person's family members are beneficiaries of the trusts. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
| 6 | Common | Class A Common Stock | 2023-03-06 | G | A | 2,188,411 | $0.00 | 2,188,411 | I By Trusts | — | — | (F3) The Reporting Person's family members are beneficiaries of the trusts. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
| 7 | Common | Class A Common Stock | 2023-03-07 | S | D | 301,406 | $8.37 | 970,877 | I By: The Singh Family TR DTD 10/3/96 | — | — | (F7) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.23 to $8.73, 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 Form 4. (F4) Immediately prior to the conversion and sale of the shares, such shares were registered in the name of the Reporting Person's family trust. |
| 8 | Common | Class A Common Stock | 2023-03-07 | C | A | 301,406 | — | 1,272,283 | I By: The Singh Family TR DTD 10/3/96 | — | — | (F1) Immediately upon disposition, the shares of Class B Common Stock were automatically converted into shares of Class A Common Stock on a one-to-one basis, in accordance with the Issuer's Amended and Restated Certificate of Incorporation. (F4) Immediately prior to the conversion and sale of the shares, such shares were registered in the name of the Reporting Person's family trust. |
| 9 | Common | Class A Common Stock | 2023-03-06 | S | D | 478,747 | $9.03 | 970,877 | I By: The Singh Family TR DTD 10/3/96 | — | — | (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.64 to $9.37, 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 Form 4. (F4) Immediately prior to the conversion and sale of the shares, such shares were registered in the name of the Reporting Person's family trust. |
| 10 | Common | Class A Common Stock | 2023-03-06 | C | A | 2,188,411 | — | 2,188,411 | I By Roshni Singh 2020 Annuity Trust A dated September 1, 2020 | — | — | (F1) Immediately upon disposition, the shares of Class B Common Stock were automatically converted into shares of Class A Common Stock on a one-to-one basis, in accordance with the Issuer's Amended and Restated Certificate of Incorporation. |
| 11 | Common | Class A Common Stock | 2023-03-06 | G | D | 2,188,411 | $0.00 | 0 | I By Roshni Singh 2020 Annuity Trust A dated September 1, 2020 | — | — | |
| 12 | Common | Class A Common Stock | 2023-03-08 | S | D | 355,000 | $7.78 | 970,877 | I By: The Singh Family TR DTD 10/3/96 | — | — | (F8) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.64 to $8.14, 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 Form 4. (F4) Immediately prior to the conversion and sale of the shares, such shares were registered in the name of the Reporting Person's family trust. |
| 13 | Derivative | Class B Common Stock | 2023-03-06 | C | D | 478,747 | — | 1,714,465 | D | — · — to — | 478,747 Class A Common Stock | (F10) Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis and has no expiration date in accordance with the Issuer's Amended and Restated Certificate of Incorporation. (F4) Immediately prior to the conversion and sale of the shares, such shares were registered in the name of the Reporting Person's family trust. |
| 14 | Derivative | Stock Option (right to buy) | 2023-03-07 | M | D | 534,166 | $0.00 | 2,248,631 | D | $0.64 · 2014-02-13 to 2023-04-08 | 534,166 Class B Common Stock | |
| 15 | Derivative | Stock Option (right to buy) | 2023-03-06 | M | D | 852,630 | $0.00 | 2,193,212 | D | $0.64 · 2014-02-13 to 2023-04-08 | 852,630 Class B Common Stock | |
| 16 | Derivative | Class B Common Stock | 2023-03-06 | C | D | 2,188,411 | — | 0 | I By Roshni Singh 2020 Annuity Trust A dated September 1, 2020 | — · — to — | 2,188,411 Class A Common Stock | (F10) Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis and has no expiration date in accordance with the Issuer's Amended and Restated Certificate of Incorporation. |
| 17 | Derivative | Class B Common Stock | 2023-03-06 | C | D | 2,188,411 | — | 0 | I By Jagdeep Singh 2020 Annuity Trust A dated September 1, 2020 | — · — to — | 2,188,411 Class A Common Stock | (F10) Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis and has no expiration date in accordance with the Issuer's Amended and Restated Certificate of Incorporation. |
| 18 | Derivative | Class B Common Stock | 2023-03-07 | C | D | 301,406 | — | 1,947,225 | D | — · — to — | 301,406 Class A Common Stock | (F10) Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis and has no expiration date in accordance with the Issuer's Amended and Restated Certificate of Incorporation. (F4) Immediately prior to the conversion and sale of the shares, such shares were registered in the name of the Reporting Person's family trust. |
| 19 | Derivative | Stock Option (right to buy) | 2023-03-08 | M | D | 624,078 | $0.00 | 2,571,303 | D | $0.64 · 2014-02-13 to 2023-04-08 | 624,078 Class B Common Stock | |
| 20 | Derivative | Class B Common Stock | 2023-03-08 | C | D | 355,000 | — | 2,216,303 | D | — · — to — | 355,000 Class A Common Stock | (F10) Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis and has no expiration date in accordance with the Issuer's Amended and Restated Certificate of Incorporation. (F4) Immediately prior to the conversion and sale of the shares, such shares were registered in the name of the Reporting Person's family trust. |