Andrew Rickman - Nov 11, 2021 Form 4/A - Amendment Insider Report for Rockley Photonics Holdings Ltd (RKLY)

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Tom Adams, Attorney-in-fact for Andrew Rickman
Stock symbol
RKLY
Transactions as of
Nov 11, 2021
Transactions value $
-$121,473
Form type
4/A - Amendment
Date filed
7/8/2022, 09:00 PM
Date Of Original Report
Mar 17, 2022
Previous filing
Oct 27, 2021
Next filing
Dec 20, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RKLY Ordinary Share Options Exercise $0 +22.1K +0.13% $0.00 17.5M Nov 11, 2021 Direct F1
transaction RKLY Ordinary Share Tax liability -$40.2K -10.4K -0.06% $3.87 17.5M Nov 11, 2021 Direct F1
transaction RKLY Ordinary Share Options Exercise $0 +22.1K +0.13% $0.00 17.5M Feb 11, 2022 Direct F2
transaction RKLY Ordinary Share Tax liability -$48K -12.3K -0.07% $3.90 17.5M Feb 11, 2022 Direct F2
transaction RKLY Ordinary Share Options Exercise $0 +22.1K +0.13% $0.00 17.5M May 11, 2022 Direct F3
transaction RKLY Ordinary Share Tax liability -$33.3K -10.3K -0.06% $3.22 17.5M May 11, 2022 Direct F3

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 RKLY Restricted Stock Unit Options Exercise $0 -22.1K -6.25% $0.00 332K Nov 11, 2021 Ordinary Share 22.1K $0.00 Direct F1
transaction RKLY Restricted Stock Unit Options Exercise $0 -22.1K -6.67% $0.00 309K Feb 11, 2022 Ordinary Share 22.1K $0.00 Direct F2
transaction RKLY Restricted Stock Unit Options Exercise $0 -22.1K -7.14% $0.00 287K May 11, 2022 Ordinary Share 22.1K $0.00 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each Restricted Stock Unit vested and converted into the right to receive one Ordinary Share effective 11/11/2021; however, the transaction was not executed by the plan administrator until 1/10/2022.
F2 Each Restricted Stock Unit vested and converted into the right to receive one Ordinary Share effective 2/11/2022; however, the transaction was not executed by the plan administrator until 3/15/2022.
F3 Each Restricted Stock Unit vested and converted into the right to receive one Ordinary Share effective 5/11/2022; however, the transaction was not executed by the plan administrator until 5/26/2022.