Form 4 for AMPX Amprius Technologies, Inc.
Accepted 2023-10-12 00:00:00 ET · period of report 2023-10-10 · accession 0001942459-23-000004 · 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 | 2023-10-12 | 2023-10-10+ | AMPX | Bornstein Jonathan | Pres of Amprius Lab | M - OptEx | $0.05 | +150.0K | 70.3K | New | +$7,500 |
| DM | 2023-10-12 | 2023-10-10+ | AMPX | Bornstein Jonathan | Pres of Amprius Lab | S - Sale+OE | $4.21 | -150.0K | 0 | -100% | -$632.1K |
| DM | 2023-10-12 | 2023-10-10+ | AMPX | Bornstein Jonathan | Pres of Amprius Lab | M - OptEx | $0.00 | -150.0K | 1.96M | -7% | $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 | Common stock | 2023-10-12 | M | A | 22,969 | $0.05 | 22,969 | D | — | — | |
| 2 | Common | Common stock | 2023-10-11 | S | D | 56,702 | $4.16 | 0 | D | — | — | (F3) The price reported in Column 4 is an average execution price. These shares were sold in multiple transactions at prices ranging from $4.06 to $4.35, 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 range set forth above. |
| 3 | Common | Common stock | 2023-10-12 | S | D | 22,969 | $3.90 | 0 | D | — | — | (F4) The price reported in Column 4 is an average execution price. These shares were sold in multiple transactions at prices ranging from $3.71 to $4.13, 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 range set forth above. |
| 4 | Common | Common stock | 2023-10-10 | S | D | 70,329 | $4.36 | 0 | D | — | — | (F2) The price reported in Column 4 is an average execution price. These shares were sold in multiple transactions at prices ranging from $4.21 to $4.49, 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 range set forth above. |
| 5 | Common | Common stock | 2023-10-11 | M | A | 56,702 | $0.05 | 56,702 | D | — | — | |
| 6 | Common | Common stock | 2023-10-10 | M | A | 70,329 | $0.05 | 70,329 | D | — | — | |
| 7 | Derivative | Stock Option (right to buy) | 2023-10-12 | M | D | 22,969 | $0.00 | 1,883,851 | D | $0.05 · 2022-09-14 to 2027-03-15 | 22,969 Common stock | |
| 8 | Derivative | Stock Option (right to buy) | 2023-10-11 | M | D | 56,702 | $0.00 | 1,906,820 | D | $0.05 · 2022-09-14 to 2027-03-15 | 56,702 Common stock | |
| 9 | Derivative | Stock Option (right to buy) | 2023-10-10 | M | D | 70,329 | $0.00 | 1,963,522 | D | $0.05 · 2022-09-14 to 2027-03-15 | 70,329 Common stock |