Neil S. Suslak - Jun 15, 2021 Form 4 Insider Report for ChargePoint Holdings, Inc. (CHPT)

Role
Director
Signature
/s/ Henrik Gerdes - Attorney-in-Fact
Stock symbol
CHPT
Transactions as of
Jun 15, 2021
Transactions value $
-$44
Form type
4
Date filed
7/9/2021, 07:00 PM
Next filing
Jul 2, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CHPT Common Stock Exercise of in-the-money or at-the-money derivative security $27.9K +22.3K +0.74% $1.25* 3.05M Jun 15, 2021 See Footnotes F1, F2, F8
transaction CHPT Common Stock Sale -$28K -1.13K -0.04% $24.77 3.05M Jun 15, 2021 See Footnotes F1, F2, F8
holding CHPT Common Stock 1.83M Jun 15, 2021 See Footnotes F3, F8
holding CHPT Common Stock 351K Jun 15, 2021 See Footnotes F4, F8
holding CHPT Common Stock 2.7M Jun 15, 2021 See Footnotes F5, F8
holding CHPT Common Stock 11.6M Jun 15, 2021 See Footnotes F6, F8
holding CHPT Common Stock 886K Jun 15, 2021 See Footnotes F7, F8

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CHPT Warrant (right to buy) Exercise of in-the-money or at-the-money derivative security $0 -22.3K -100% $0.00* 0 Jun 15, 2021 Common Stock 22.3K $1.25 See Footnotes F2, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Reporting Person exercised a warrant to purchase 22,337 shares of the Issuer's Common Stock for $1.25 per share and paid the exercise price on a cashless basis, resulting in the Issuer withholding 1,129 shares of the Issuer's shares of common stock subject to the warrant to pay the exercise price.
F2 The Shares are held directly by ChargePoint Investments LLC. (together with the entities listed in footnotes (3)-(7), the "Braemar Funds").
F3 The Shares are held directly by Braemar ChargePoint Investments III, LLC.
F4 The Shares are held directly by Braemar CP Investments 2019 LLC.
F5 The Shares are held directly by Braemar CP Investments II 2020, LLC.
F6 The Shares are held directly by Braemar Energy Ventures III, L.P.
F7 The Shares are held directly by ChargePoint Investments II, LLC.
F8 Mr. Suslak is the Managing Partner of Braemar Energy Ventures, which is the General Partner of each of the Braemar Funds. Mr. Suslak shares voting and investment power over the shares held by each of the Braemar Funds with William D. Lese and Donald F. Tappan, III. Each of Messrs. Suslak, Lese and Tappan disclaim beneficial ownership of the securities held by the Braemar Funds.