Constantin Ionel Stefan - Oct 23, 2024 Form 4 Insider Report for Amprius Technologies, Inc. (AMPX)

Role: Chief Technology Officer
Signature: /s/ Sandra Wallach, attorney-in-fact on behalf of Constantin Ionel Stefan
Stock symbol: AMPX
Transactions as of: Oct 23, 2024
Transactions value $: $0
Form type: 4
Date filed: 10/25/2024, 06:33 PM
Previous filing: Aug 22, 2024

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	AMPX	Common stock						439K	Oct 23, 2024	Direct	F1, F2

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	AMPX	Stock Option (right to buy)	Award		+3.47K			3.47K	Oct 23, 2024	Common stock	3.47K	$0.98	Direct	F3, F4, F5
transaction	AMPX	Stock Option (right to buy)	Award		+41.7K			41.7K	Oct 23, 2024	Common stock	41.7K	$0.62	Direct	F3, F4, F6
transaction	AMPX	Stock Option (right to buy)	Award		+140K			140K	Oct 23, 2024	Common stock	140K	$3.68	Direct	F3, F4, F7

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Includes 52,962 shares that the Reporting Person received in a pro rata distribution by Amprius, Inc. ("Amprius Holdings"), which distribution was exempt under Rule 16a-9, in connection with Amprius Holdings' dissolution (the "Liquidating Distribution").
F2	Includes 327,749 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	In connection with the Liquidating Distribution, the Issuer assumed Amprius Holdings' outstanding options to purchase shares of Amprius Holdings' Class A common stock (the "Holdings Options") granted under the Amprius, Inc. 2008 Stock Plan and the Amprius, Inc. Second Equity Incentive Plan (the "Option Assumption"). As a result of the Option Assumption, each Holdings Option held by the Reporting Person became an option to purchase a number of shares of the Issuer's common stock, subject to certain adjustments to the terms of such options to comply with the requirements of U.S. Internal Revenue Code treasury regulation relating to equity grant assumptions.
F4	The options are fully vested.
F5	Received in connection with the Option Assumption in exchange for stock options to acquire 5,000 shares of Amprius Holdings' Class A common stock at an exercise price of $0.68 per share.
F6	Received in connection with the Option Assumption in exchange for stock options to acquire 60,000 shares of Amprius Holdings' Class A common stock at an exercise price of $0.43 per share.
F7	Received in connection with the Option Assumption in exchange for stock options to acquire 201,110 shares of Amprius Holdings' Class A common stock at an exercise price of $2.55 per share.