Form 4 for LIDR AEye, Inc.
Accepted 2021-08-18 00:00:00 ET · period of report 2021-08-16 · accession 0001213900-21-043590 · 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 | 2021-08-18 | 2021-08-16 | LIDR | CANTOR FITZGERALD, L. P. | Former 10% holder | J - Other | $0.00 | -2.28M | 4.43M | -34% | $0 |
| D | 2021-08-18 | 2021-08-16 | LIDR | CANTOR FITZGERALD, L. P. | Former 10% holder | M - OptEx | $0.00 | +5.71M | 6.21M | +1,142% | $0 |
| D | 2021-08-18 | 2021-08-16 | LIDR | CANTOR FITZGERALD, L. P. | Former 10% holder | P - Purchase | $10.00 | +500.0K | 6.71M | +8% | +$5.00M |
| D | 2021-08-18 | 2021-08-16 | LIDR | CANTOR FITZGERALD, L. P. | Former 10% holder | M - OptEx | $0.00 | -5.71M | 0 | -100% | $0 |
| D | 2021-08-18 | 2021-08-16 | LIDR | CANTOR FITZGERALD, L. P. | Former 10% holder | A - Grant | — | +166.7K | 166.7K | 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 | Class A common stock | 2021-08-16 | J | D | 2,284,000 | $0.00 | 4,426,000 | D | — | — | (F4) CF Finance Holdings III transferred an aggregate of 2,284,000 shares of Class A common stock of the issuer to a third party immediately after the closing of the issuer's initial business combination. (F3) CF Finance Holdings III is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of CF Finance Holdings III. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the Chairman and Chief Executive Officer of CFGM and is also the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by CF Finance Holdings III. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. |
| 2 | Common | Class A common stock | 2021-08-16 | M | A | 5,710,000 | $0.00 | 6,210,000 | D | — | — | (F1) As described in the issuer's registration statement on Form S-1 (File No. 333-249367) under the heading "Description of Securities--Founder Shares", upon consummation of the issuer's initial business combination and waiver of the anti-dilution rights in connection with the conversion, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. (F3) CF Finance Holdings III is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of CF Finance Holdings III. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the Chairman and Chief Executive Officer of CFGM and is also the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by CF Finance Holdings III. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. |
| 3 | Common | Class A common stock | 2021-08-16 | P | A | 500,000 | $10.00 | 6,710,000 | D | — | — | (F2) Pursuant to that certain Subscription Agreement, dated February 17, 2021, by and between the issuer and CF Finance Holdings III, LLC ("CF Finance Holdings III"), CF Finance Holdings III purchased an aggregate of 500,000 shares of Class A common stock of the issuer on August 16, 2021 in a private placement in connection with the issuer's initial business combination with AEye, Inc. (F3) CF Finance Holdings III is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of CF Finance Holdings III. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the Chairman and Chief Executive Officer of CFGM and is also the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by CF Finance Holdings III. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. |
| 4 | Derivative | Class B Common Stock | 2021-08-16 | M | D | 5,710,000 | $0.00 | 0 | D | — · — to — | 5,710,000 Class A Common Stock | (F3) CF Finance Holdings III is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of CF Finance Holdings III. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the Chairman and Chief Executive Officer of CFGM and is also the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by CF Finance Holdings III. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. (F1) As described in the issuer's registration statement on Form S-1 (File No. 333-249367) under the heading "Description of Securities--Founder Shares", upon consummation of the issuer's initial business combination and waiver of the anti-dilution rights in connection with the conversion, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. |
| 5 | Derivative | Warrants | 2021-08-16 | A | A | 166,666 | — | 166,666 | D | $11.50 · 2021-11-17 to 2026-08-16 | 166,666 Class A Common Stock | (F5) These warrants represent warrants issued to CF Finance Holdings III upon separation of the private units previously purchased by CF Finance Holdings III from the issuer in November 2020. CF Finance Holdings III acquired the private units for a purchase price of $10.00 per unit in a private placement that consummated in connection with the issuer's initial public offering. The warrants become eligible for exercise on November 17, 2021, which is one year from the closing of the issuer's initial public offering. (F3) CF Finance Holdings III is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of CF Finance Holdings III. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the Chairman and Chief Executive Officer of CFGM and is also the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by CF Finance Holdings III. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. |