Donald R. Dixon - Jun 9, 2023 Form 4 Insider Report for Amprius Technologies, Inc. (AMPX)

Role
Director
Signature
/s/ Sandra Wallach, attorney-in-fact on behalf of Donald R. Dixon
Stock symbol
AMPX
Transactions as of
Jun 9, 2023
Transactions value $
$0
Form type
4
Date filed
6/12/2023, 06:30 PM
Previous filing
Sep 16, 2022
Next filing
Jun 7, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMPX Common stock Award $0 +17.9K $0.00 17.9K Jun 9, 2023 Direct F1, F2
holding AMPX Common stock 100K Jun 9, 2023 See Footnote F3
holding AMPX Common stock 96.3K Jun 9, 2023 See Footnotes F4, F5
holding AMPX Common stock 3.73K Jun 9, 2023 See Footnotes F5, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The securities are represented by restricted stock units. Each restricted stock unit represents the reporting person's right to receive one share of issuer's common stock. 100% of the restricted stock units vest on the earlier of (i) the one-year anniversary of the date the restricted stock units were granted and (ii) the day before the next annual meeting of stockholders, subject to the reporting person's continued service as of the vesting date.
F2 Includes 17,895 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.
F3 The securities are held directly by The Dixon Revocable Trust, for which the Reporting Person and his spouse are co-trustees.
F4 The securities are held directly by Trident Capital Fund-VI, L.P.
F5 Trident Capital Management VI, L.L.C. ("TCM VI") is the sole general partner of Trident Capital Fund-VI, L.P. ("Trident Fund VI") and the sole managing member of Trident Capital Fund - VI Principals Fund, L.L.C. ("Trident Principals VI"). The reporting person is a managing member of TCM VI and, as such, may be deemed to have shared voting and dispositive power with respect to the issuer's securities held of record by each of Trident Fund VI and Trident Principals VI. The reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the shares for purposes of Section 16 or for any other purpose.
F6 The securities are held directly by Trident Principals VI.