Key facts
- This page summarizes Ichiro Aoki's Form 4 filing for indie Semiconductor, Inc. (INDI).
- 9 reported transactions and 3 derivative rows are listed below.
- Accepted by SEC: 21 Jun 2024, 20:45.
Ichiro Aoki - 19 Jun 2024 Form 4 Insider Report for indie Semiconductor, Inc. (INDI)
- Reporting relationship
- President, Director
- Issuer ticker
- INDI
- Reported as of
- 19 Jun 2024
- Net transaction value
- -$937,500
- SEC form
- 4
- Accepted by SEC
- 21 Jun 2024, 20:45:15 UTC
- Prior SEC filing
- 18 Jun 2024
- Next SEC filing
- 26 Jun 2024
- Source filing
- View source filing
- Reporting owner signature
- /s/ Ichiro Aoki by Naixi Wu pursuant to power of attorney filed on June 21, 2021
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Ichiro Aoki filed Form 4 for indie Semiconductor, Inc. (INDI) on 21 Jun 2024.
Change
- Previous filing in this sequence was filed on 18 Jun 2024.
- Current net transaction value: -$937,500.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
INDI
transaction
Class V Common Stock
Options Exercise
- Transaction value
- $0
- Shares
- -75,000
- Change %
- -1.5%
- Price
- $0.000000
- Shares after
- 5,064,362
- Date
- 20 Jun 2024
- Ownership
- Direct
- Footnotes
- F1
INDI
transaction
Class A Common Stock
Options Exercise
- Transaction value
- $0
- Shares
- +75,000
- Change %
- +205%
- Price
- $0.000000
- Shares after
- 111,631
- Date
- 20 Jun 2024
- Ownership
- Direct
- Footnotes
- F2
INDI
transaction
Class A Common Stock
Sale
- Transaction value
- $469,500
- Shares
- -75,000
- Change %
- -67%
- Price
- $6.26
- Shares after
- 36,631
- Date
- 20 Jun 2024
- Ownership
- Direct
- Footnotes
- F3, F4
INDI
transaction
Class V Common Stock
Options Exercise
- Transaction value
- $0
- Shares
- -75,000
- Change %
- -1.5%
- Price
- $0.000000
- Shares after
- 4,989,362
- Date
- 21 Jun 2024
- Ownership
- Direct
- Footnotes
- F1
INDI
transaction
Class A Common Stock
Options Exercise
- Transaction value
- $0
- Shares
- +75,000
- Change %
- +205%
- Price
- $0.000000
- Shares after
- 111,631
- Date
- 21 Jun 2024
- Ownership
- Direct
- Footnotes
- F2
INDI
transaction
Class A Common Stock
Sale
- Transaction value
- $468,000
- Shares
- -75,000
- Change %
- -67%
- Price
- $6.24
- Shares after
- 36,631
- Date
- 21 Jun 2024
- Ownership
- Direct
- Footnotes
- F3, F5
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
INDI
transaction
Derivative
Restricted Stock Units
Award
- Transaction value
- $0
- Shares
- +17,500
- Change %
- Price
- $0.000000
- Shares after
- 17,500
- Date
- 19 Jun 2024
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 17,500
- Exercise price
- Footnotes
- F6, F7
INDI
transaction
Derivative
ADK Class A Units
Options Exercise
- Transaction value
- $0
- Shares
- -75,000
- Change %
- -1.5%
- Price
- $0.000000
- Shares after
- 5,064,362
- Date
- 20 Jun 2024
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 75,000
- Exercise price
- $0.000000
- Footnotes
- F2, F8
INDI
transaction
Derivative
ADK Class A Units
Options Exercise
- Transaction value
- $0
- Shares
- -75,000
- Change %
- -1.5%
- Price
- $0.000000
- Shares after
- 4,989,362
- Date
- 21 Jun 2024
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 75,000
- Exercise price
- $0.000000
- Footnotes
- F2, F8
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Rule 10b5-1 trading plan
These transactions were reported as open-market trades under a Rule 10b5-1 plan. The plan lets an insider set trading instructions in advance, which can reduce the risk of trading while in possession of material nonpublic information.
Original filing language: transaction made pursuant to a contract, instruction, or written plan intended to satisfy Rule 10b5-1(c).
Explanation of responses 8 footnotes
Footnote F1
Cancellation of Class V Common Stock upon Reporting Person's exchange of ADK Class A Units for an equal number of shares of Class A Common Stock. See note 2.
Footnote F2
Class A Common Stock received upon conversion of ADK Class A Units. The ADK Class A Units may be exchanged by the Reporting Person at any time after December 10, 2021 for an equal number of shares of Class A Common Stock or, at the election of the Issuer, cash equal to the fair market value of such shares. Upon the Reporting Person's exchange of an ADK Class A Unit for Class A Common Stock, an equivalent number of shares of Class V Common Stock will be cancelled.
Footnote F3
The sales made in this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 14, 2024. The Reporting Person's Rule 10b5-1 plan includes automated sales of the Issuer's Class A common stock on predetermined prices and dates through March 15, 2026.
Footnote F4
The price reported in Column 4 is a weighted average price. The shares reported in this Form 4 were sold in separate transactions at prices ranging from $6.14 to $6.42, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the price range set forth in this footnote.
Footnote F5
The price reported in Column 4 is a weighted average price. The shares reported in this Form 4 were sold in separate transactions at prices ranging from $6.10 to $6.38, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the price range set forth in this footnote.
Footnote F6
Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock.
Footnote F7
The time-based restricted stock units shall vest and become nonforfeitable with respect to fifty percent (50%) of the total number of restricted stock units on March 1, 2025 and 2026.
Footnote F8
N/A