Singh Mohit's Form 4/A amendment
AmendedQuantumScape Corp (QS) · filed Mar 1, 2022
- Accession no.
- 0001209191-22-014107
- Filed
- Mar 1, 2022
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Feb 24, 2022
This filing lists no transactions. It carries over 3 transactions from the original filing that it did not restate. Open-market sales total $82.1K.
This amendment restates part of 0001209191-22-012737 (filed Feb 24, 2022). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Singh MohitCIK 0001834019 | Officer (Chief Development Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001209191-22-012737 (filed Feb 24, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 22, 2022 | Class A Common Stock | MOption exerciseAcquired | +5,360 | $1.33 | +$7,128.8 | 239,959 | Direct | |
| Feb 22, 2022 | Class A Common Stock | SSaleDisposed | −5,360 | $15.32F2 | −$82,115.2 | 234,599 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 22, 2022 | Class A Common Stock | MOption exerciseDisposed | −5,360 | $0.00 | $0 | 1,329,860 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F2
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.26 to $15.43, 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 footnote to this Form 4.
Referenced by the price of 1 transaction in Table I.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Includes 201,086 shares represented by restricted stock units ("RSUs"). Each RSU represents the Reporting Person's right to receive one share of Class A Common Stock of the Issuer. A portion of the RSUs vest each quarter, subject to the Reporting Person's continued service as of each vesting date.
- F2
On February 24, 2022, the Reporting Person filed a Form 4 which inadvertently reported that, following the exercise of an option and sale of the underlying stock, that the Reporting Person held 239,599 shares of common stock. In fact, as reported in this amendment, the reporting person owned 220,416 shares of common stock.