Debbie Simpson - Dec 29, 2023 Form 3 Insider Report for Li-Cycle Holdings Corp. (LICY)

Role
Chief Financial Officer
Signature
/s/ Carl DeLuca, attorney-in-fact on behalf of Deborah Simpson
Stock symbol
LICY
Transactions as of
Dec 29, 2023
Transactions value $
$0
Form type
3
Date filed
12/29/2023, 04:45 PM
Next filing
Feb 1, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding LICY Common Shares 460K Dec 29, 2023 Direct F1

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
holding LICY Employee Stock Option (right to buy) Dec 29, 2023 Common Shares 58.2K $7.58 Direct F2
holding LICY Employee Stock Option (right to buy) Dec 29, 2023 Common Shares 189K $5.77 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 397,215 restricted stock units ("RSUs") awarded to the reporting person under the Li-Cycle Holdings Corp. 2021 Incentive Award Plan. Each RSU represents the contingent right to receive one common share of Li-Cycle Holdings Corp subject to time-vesting conditions in accordance with the underlying award and the reporting person's continued service through such vesting date.
F2 The stock option became exercisable as to 19,406 common shares on January 31, 2023. The stock option becomes exercisable as to 19,406 common shares on January 31, 2024 and 19,406 common shares on January 31, 2025.
F3 The stock option becomes exercisable as to 62,893 common shares on January 27, 2024, 62,892 common shares on January 27, 2025 and 62,893 common shares on January 27, 2026.

Remarks:

Exhibit List - Exhibit 24.1 - Power of Attorney This Form 3 is being filed because, beginning January 1, 2024, the Issuer will no longer be eligible to use the forms and rules designated by the Securities and Exchange Commission for foreign private issuers (as defined in Rule 3b-4 of the Securities Exchange Act of 1934, as amended).