Bernd Gottschalk - Aug 16, 2021 Form 4/A - Amendment Insider Report for AEye, Inc. (LIDR)

Role
Director
Signature
Bernd Gottschalk
Stock symbol
LIDR
Transactions as of
Aug 16, 2021
Transactions value $
$2,768,871
Form type
4/A - Amendment
Date filed
1/3/2022, 10:42 AM
Date Of Original Report
Aug 23, 2021
Next filing
Sep 16, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LIDR Common Stock Award $0 +51.7K $0.00 51.7K Aug 16, 2021 VEKTOR Partners FF 1 GBR F1, F2
holding LIDR Common Stock 42.3K Aug 16, 2021 Direct

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 LIDR Stock Option (Right to Buy) Award $2.77M +74.4K $37.21* 74.4K Aug 16, 2021 Common Stock 74.4K $0.63 Direct F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents the reporting person's 26.03% share in the 198,379 shares held by VEKTOR Partners FF 1 GBR, a Gesellschaft brgerlichen Rechts established under the laws of Germany and not previously reported on a Form 4.
F2 The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F3 The exercise price for this derivative security was erroneously reported on a previous Form 4 filed on August 23, 2021; no other changes are being reported.
F4 Received in exchange for stock options to acquire 20,000 shares of AEye Technologies, Inc. ("AEye Technologies") in connection with the merger of AEye Technologies into AEye, Inc. (the "Company") pursuant to the exchange ratio set forth in the Agreement and Plan of Merger between AEye Technologies and the Company. The closing price of the Company's Common Stock on the effective date of the merger was $37.2080. These stock options are partially vested and will fully vest on September 29, 2022.