Andrew George Rickman - 11 Nov 2021 Form 4/A - Amendment Insider Report for Rockley Photonics Holdings Ltd

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Tom Adams, Attorney-in-fact for Andrew Rickman
Issuer symbol
N/A
Transactions as of
11 Nov 2021
Net transactions value
-$121,473
Form type
4/A - Amendment
Filing time
08 Jul 2022, 21:00:49 UTC
Date Of Original Report
17 Mar 2022
Previous filing
27 Oct 2021
Next filing
20 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RKLY Ordinary Share Options Exercise $0 +22,100 +0.13% $0.000000 17,484,834 11 Nov 2021 Direct F1
transaction RKLY Ordinary Share Tax liability $40,198 -10,387 -0.06% $3.87 17,474,447 11 Nov 2021 Direct F1
transaction RKLY Ordinary Share Options Exercise $0 +22,100 +0.13% $0.000000 17,496,547 11 Feb 2022 Direct F2
transaction RKLY Ordinary Share Tax liability $47,974 -12,301 -0.07% $3.90 17,484,246 11 Feb 2022 Direct F2
transaction RKLY Ordinary Share Options Exercise $0 +22,101 +0.13% $0.000000 17,506,347 11 May 2022 Direct F3
transaction RKLY Ordinary Share Tax liability $33,301 -10,342 -0.06% $3.22 17,496,005 11 May 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 -22,100 -6.2% $0.000000 331,507 11 Nov 2021 Ordinary Share 22,100 $0.000000 Direct F1
transaction RKLY Restricted Stock Unit Options Exercise $0 -22,100 -6.7% $0.000000 309,407 11 Feb 2022 Ordinary Share 22,100 $0.000000 Direct F2
transaction RKLY Restricted Stock Unit Options Exercise $0 -22,101 -7.1% $0.000000 287,306 11 May 2022 Ordinary Share 22,101 $0.000000 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.