Form 4 for SMR NUSCALE POWER Corp
Accepted 2023-02-24 00:00:00 ET · period of report 2023-01-06 · accession 0001213900-23-014194 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2023-02-24 | 2023-01-06+ | SMR | IBK Securities Co., Ltd. | 10% | S - Sale | $10.35 | -105.0K | 3.63M | -3% | -$1.09M |
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 | 2023-01-09 | S | D | 8,000 | $10.44 | 287,420 | I Next Tech 2 New Technology Investment Fund. See Footnote | — | — | (F2) The reported securities were directly held by Next Tech 2 New Technology Investment Fund ("Next Tech 2"). IBKS is, together with BHI, a co-general partner of Next Tech 2. IBKS disclaims any beneficial ownership of the securities held by NextTech 2, other than to the extent of any pecuniary interest it may have therein, directly or indirectly. (F3) Industrial Bank of Korea ("IBK"), as the controlling person of IBKS, and the Republic of Korea Ministry of Economy and Finance ("MOEF"), as the controlling person of IBK, are deemed to be indirect beneficial owners of the shares of Class A Common Stock owned by Next Tech 1 and Next Tech 2, and the shares of Class B Common Stock owned by NuScale Korea. IBK and MOEF disclaim any beneficial ownership of the securities held by Next Tech 1, Next Tech 2, and NuScale Korea, other than to the extent of any pecuniary interest they may have therein, directly or indirectly. |
| 2 | Common | Class A Common Stock | 2023-01-09 | S | D | 45,000 | $10.44 | 3,587,787 | I Next Tech 1 New Technology Investment Fund. See Footnote | — | — | (F3) Industrial Bank of Korea ("IBK"), as the controlling person of IBKS, and the Republic of Korea Ministry of Economy and Finance ("MOEF"), as the controlling person of IBK, are deemed to be indirect beneficial owners of the shares of Class A Common Stock owned by Next Tech 1 and Next Tech 2, and the shares of Class B Common Stock owned by NuScale Korea. IBK and MOEF disclaim any beneficial ownership of the securities held by Next Tech 1, Next Tech 2, and NuScale Korea, other than to the extent of any pecuniary interest they may have therein, directly or indirectly. (F1) The reported securities were, or are, directly held by Next Tech 1 New Technology Investment Fund ("Next Tech 1"). IBKS is, together with BH Investment and Liberty Ltd. ("BHI"), a co-general partner of Next Tech 1. IBKS disclaims any beneficial ownership of the securities held by NextTech 1, other than to the extent of any pecuniary interest it may have therein, directly or indirectly. |
| 3 | Common | Class A Common Stock | 2023-01-06 | S | D | 7,000 | $10.24 | 295,420 | I Next Tech 2 New Technology Investment Fund. See Footnote | — | — | (F2) The reported securities were directly held by Next Tech 2 New Technology Investment Fund ("Next Tech 2"). IBKS is, together with BHI, a co-general partner of Next Tech 2. IBKS disclaims any beneficial ownership of the securities held by NextTech 2, other than to the extent of any pecuniary interest it may have therein, directly or indirectly. (F3) Industrial Bank of Korea ("IBK"), as the controlling person of IBKS, and the Republic of Korea Ministry of Economy and Finance ("MOEF"), as the controlling person of IBK, are deemed to be indirect beneficial owners of the shares of Class A Common Stock owned by Next Tech 1 and Next Tech 2, and the shares of Class B Common Stock owned by NuScale Korea. IBK and MOEF disclaim any beneficial ownership of the securities held by Next Tech 1, Next Tech 2, and NuScale Korea, other than to the extent of any pecuniary interest they may have therein, directly or indirectly. |
| 4 | Common | Class A Common Stock | 2023-01-06 | S | D | 45,000 | $10.25 | 3,632,787 | I Next Tech 1 New Technology Investment Fund. See Footnote | — | — | (F3) Industrial Bank of Korea ("IBK"), as the controlling person of IBKS, and the Republic of Korea Ministry of Economy and Finance ("MOEF"), as the controlling person of IBK, are deemed to be indirect beneficial owners of the shares of Class A Common Stock owned by Next Tech 1 and Next Tech 2, and the shares of Class B Common Stock owned by NuScale Korea. IBK and MOEF disclaim any beneficial ownership of the securities held by Next Tech 1, Next Tech 2, and NuScale Korea, other than to the extent of any pecuniary interest they may have therein, directly or indirectly. (F1) The reported securities were, or are, directly held by Next Tech 1 New Technology Investment Fund ("Next Tech 1"). IBKS is, together with BH Investment and Liberty Ltd. ("BHI"), a co-general partner of Next Tech 1. IBKS disclaims any beneficial ownership of the securities held by NextTech 1, other than to the extent of any pecuniary interest it may have therein, directly or indirectly. |