Form 4 for INDI indie Semiconductor, Inc.
Accepted 2023-05-19 00:00:00 ET · period of report 2023-05-17 · accession 0001628280-23-019143 · 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 | 2023-05-19 | 2023-05-17 | INDI | Aoki Ichiro | Pres, Dir | M - OptEx | $0.00 | 0 | 106.3K | New | $0 |
| D | 2023-05-19 | 2023-05-17 | INDI | Aoki Ichiro | Pres, Dir | S - Sale+OE | $9.00 | -100.0K | 6,341 | -94% | -$900.0K |
| D | 2023-05-19 | 2023-05-17 | INDI | Aoki Ichiro | Pres, Dir | M - OptEx | $0.00 | -100.0K | 5.49M | -2% | $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 V Common Stock | 2023-05-17 | M | D | 100,000 | $0.00 | 5,489,362 | D | — | — | |
| 2 | Common | Class A Common Stock | 2023-05-17 | S | D | 100,000 | $9.00 | 6,341 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. The shares reported in this Form 4 were sold in separate transactions at prices ranging from $8.96 to $9.05, 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 price range set forth in this footnote. |
| 3 | Common | Class A Common Stock | 2023-05-17 | M | A | 100,000 | $0.00 | 106,341 | D | — | — | |
| 4 | Derivative | ADK Class A Units | 2023-05-17 | M | D | 100,000 | $0.00 | 5,489,362 | D | $0.00 · 2021-12-10 to — | 100,000 Class A Common Stock | (F2) Class A Common Stock received upon conversion of ADK Class A Units. The ADK Class A Units may be exchanged by the Reporting Person at any time after December 10, 2021 for an equal number of shares of Class A Common Stock or, at the election of the Issuer, cash equal to the fair market value of such shares. Upon the Reporting Person's exchange of an ADK Class A Unit for Class A Common Stock, an equivalent number of shares of Class V Common Stock will be cancelled. (F4) N/A |