Straubel Jeffrey B's Form 4/A amendment
AmendedQuantumScape Corp (QS) · filed May 19, 2022
- Accession no.
- 0001209191-22-030586
- Filed
- May 19, 2022
- Trade date
- May 16, 2022
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- May 18, 2022
This filing lists 1 non-derivative transaction. It carries over 1 transaction from the original filing that it did not restate. Open-market sales total $731.5K. It was filed 3 days after the trade.
This amendment restates part of 0001209191-22-030107 (filed May 18, 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 |
|---|---|
| Straubel Jeffrey BCIK 0001494727 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 16, 2022 | Class A Common Stock | SSaleDisposed | −30,837 | $11.86F3 | −$365,726.82 | 376,631 | Direct |
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 0001209191-22-030107 (filed May 18, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 16, 2022 | Class A Common Stock | SSaleAcquired | +30,837 | $11.86F2 | +$365,726.82 | 376,631 | 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 $11.38 to $12.37, 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
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in March 2022.
- F2
On May 18, 2022 the Reporting Person filed a Form 4 that incorrectly listed shares as an acquisition rather than a disposition. This Amendment corrects that inaccurate code listing.
- F3
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.38 to $12.37, 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.
- F4
Includes 5,294 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. 100% of the RSUs vest on the first quarterly vesting date following the one-year anniversary of the grant date, subject to the Reporting Person's continued service as of the vesting date.