| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AEVA | Common Stock | Sale | -$352K | -75.8K | -1.59% | $4.65* | 4.69M | Mar 20, 2024 | By trust | F1, F2, F3 |
| transaction | AEVA | Common Stock | Sale | -$283K | -62.5K | -1.33% | $4.52* | 4.63M | Mar 21, 2024 | By trust | F1, F3, F4 |
| transaction | AEVA | Common Stock | Sale | -$273K | -67.8K | -1.47% | $4.03* | 4.56M | Mar 22, 2024 | By trust | F1, F3, F5 |
| holding | AEVA | Common Stock | 826K | Mar 20, 2024 | Direct | F3 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | Represents shares sold in a transaction that was effected automatically pursuant to a Rule 10b-5 trading plan adopted by the Reporting Person. |
| F2 | This transaction was executed in multiple trades at prices ranging from $4.45 to $5.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| F3 | All amounts of securities reported in this Form 4 reflect a 1-for-5 reverse stock split (the "Reverse Stock Split") that became effective March 18, 2024, including the Reporting Person's receipt of cash in lieu of a fractional share. |
| F4 | This transaction was executed in multiple trades at prices ranging from $4.30 to $4.92. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| F5 | This transaction was executed in multiple trades at prices ranging from $3.93 to $4.26. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |