Justin Mirro - Jul 23, 2024 Form 4 Insider Report for Amprius Technologies, Inc. (AMPX)

Role
Director
Signature
/s/ Justin Mirro
Stock symbol
AMPX
Transactions as of
Jul 23, 2024
Transactions value $
$0
Form type
4
Date filed
7/25/2024, 08:40 PM
Previous filing
Jun 14, 2024
Next filing
Sep 5, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMPX Common Stock Award +926K +63.11% 2.39M Jul 23, 2024 See Footnote F1, F2
holding AMPX Common Stock 143K Jul 23, 2024 Direct F5
holding AMPX Common Stock 1.59M Jul 23, 2024 See Footnote F6

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 AMPX Warrants (right to buy) Disposed to Issuer -4.7M -100% 0 Jul 23, 2024 Common Stock 4.7M See Footnote F2, F3, F4
holding AMPX Warrants (right to buy) 200K Jul 23, 2024 Common Stock 200K $11.50 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person received 925,900 shares of common stock in exchange for warrants to purchase 4,700,000 shares of common stock. The warrants were referred to as "Private Warrants" of the Issuer.
F2 The securities are owned by Kensington Capital Partners, LLC, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F3 Pursuant to the Issuer's offer (the "Offer") to holders of its outstanding Private Warrants, the Issuer offered to exchange 0.197 shares of the Issuer's common stock for each Private Warrant exercisable for one share of the Issuer's common stock upon the terms set forth in the Issuer's Offer to Exchange Private Warrants to Acquire Common Stock filed as an exhibit to the Issuer's Schedule TO filed with the Securities and Exchange Commission on June 24, 2024.
F4 The securities were in September 2022 distributed in-kind, pro-rata and for no additional consideration to the members (one of whom was Kensington Capital Partners, LLC) of Kensington Capital Sponsor IV, LLC in connection with its liquidating distribution.
F5 Includes 125,000 restricted stock units, each of which represents a contingent right to receive one share of the issuer's common stock, subject to the applicable vesting schedule and conditions of each restricted stock unit.
F6 The shares are owned by Elizabeth Mirro as trustee of the Kensington Capital Trust dated 6/27/20. Elizabeth Mirro is the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities.