| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SYM | Class V-3 Common Stock | Gift | -1M | -28.86% | 2.46M | Dec 13, 2023 | By the Richard B. Cohen Revocable Trust | F1, F2, F3, F4 | ||
| holding | SYM | Class V-3 Common Stock | 163M | Dec 13, 2023 | By the RBC 2021 4 Year GRAT | F1, F2 | |||||
| holding | SYM | Class V-3 Common Stock | 41.5M | Dec 13, 2023 | By RJJRP Holdings, Inc. | F1, F2 | |||||
| holding | SYM | Class V-3 Common Stock | 168M | Dec 13, 2023 | By Spouse | F1, F2, F5 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SYM | Symbotic Holdings Units | Gift | -1M | -28.86% | 2.46M | Dec 13, 2023 | Class A Common Stock | 1M | By the Richard B. Cohen Revocable Trust | F1, F2, F3, F6 | |||
| holding | SYM | Symbotic Holdings Units | 168M | Dec 13, 2023 | Class A Common Stock | 168M | By RBC 2021 4 Year GRAT | F1, F2, F6 | ||||||
| holding | SYM | Symbotic Holdings Units | 44.4M | Dec 13, 2023 | Class A Common Stock | 44.4M | By RJJRP Holdings, Inc. | F1, F2, F6 | ||||||
| holding | SYM | Symbotic Holdings Units | 168M | Dec 13, 2023 | Class A Common Stock | 168M | By Spouse | F1, F7, F8 |
| Id | Content |
|---|---|
| F1 | The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock or Class V-3 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock or Class V-3 Common Stock, as applicable. |
| F2 | Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share. Shares of Class V-3 Common Stock of the Issuer have no economic rights and each share of Class V-3 Common Stock entitles its holder to 3 votes per share. |
| F3 | Represents a bona fide gift to a charitable donor-advised fund. Price is not applicable to acquisitions or dispositions resulting from bona fide gifts. |
| F4 | Richard B. Cohen may be considered the beneficial owner of (i) 163,355,074 shares of Class V-3 Common Stock held of record by The RBC 2021 4 Year GRAT, of which Richard B. Cohen is trustee and the sole beneficiary, (ii) 41,549,600 shares of Class V-3 Common Stock held of record by RJJRP Holdings, Inc., of which Richard B. Cohen is a shareholder and the President and Chief Executive Officer, and (iii) 2,464,582 shares of Class V-3 Common Stock held of record by the Richard B. Cohen Revocable Trust, of which Richard B. Cohen is trustee and the sole beneficiary and, in each case, an equal number of the paired Symbotic Holdings Units. |
| F5 | Richard B. Cohen may be considered to have an additional indirect pecuniary interest in (i) 153,647,127 shares of Class V-3 Common Stock held by The RBC Millennium Trust and (ii) 13,858,144 shares of Class V-3 Common Stock held by the Jill Cohen Mill Trust (together, the "Spousal Shares"), in which Mr. Cohen's spouse acts as trustee and to which members of Mr. Cohen's immediate family have a pecuniary interest. Richard B. Cohen does not have voting or investment control over the Spousal Shares and disclaims beneficial ownership of the Spousal Shares except to the extent that Mr. Cohen may be considered to have an indirect pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the Spousal Shares for purposes of Section 16 or for any other purpose. |
| F6 | Richard B. Cohen may be considered the beneficial owner of (i) 163,355,074 shares of Class V-3 Common Stock and 4,571,502 shares of Class V-1 Common Stock held of record by The RBC 2021 4 Year GRAT, of which Richard B. Cohen is trustee and the sole beneficiary, (ii) 41,549,600 shares of Class V-3 Common Stock and 2,818,148 shares of Class V-1 Common Stock held of record by RJJRP Holdings, Inc., of which Richard B. Cohen is a shareholder and the President and Chief Executive Officer, and (iii) 2,464,582 shares of Class V-3 Common Stock held of record by the Richard B. Cohen Revocable Trust, of which Richard B. Cohen is trustee and the sole beneficiary and, in each case, an equal number of the paired Symbotic Holdings Units. |
| F7 | Richard B. Cohen may be considered to have an additional indirect pecuniary interest in (i) 153,647,127 Symbotic Holdings Units (including the equivalent number of paired shares of Class V-3 Common Stock) held by The RBC Millennium Trust and (ii) 14,403,979 Symbotic Holdings Units (including 545,835 paired shares of Class V-1 Common Stock and 13,858,144 paired shares of Class V-3 Common Stock) held by the Jill Cohen Mill Trust (together, the "Spousal Units"), in each of which Mr. Cohen's spouse acts as trustee and to which members of Mr. Cohen's immediate family have a pecuniary interest. |
| F8 | [Continued from footnote 7] Richard B. Cohen does not have voting or investment control over the Spousal Units and disclaims beneficial ownership of the Spousal Units except to the extent that Mr. Cohen may be considered to have an indirect pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the Spousal Units for purposes of Section 16 or for any other purpose. |
Reporting Person is Board Chair, President and Chief Executive Officer