Mahesh Karanth - 11 Nov 2021 Form 4/A - Amendment Insider Report for Rockley Photonics Holdings Ltd

Role
Chief Financial Officer
Signature
/s/ Tom Adams, Attorney-in-fact for Mahesh Karanth
Issuer symbol
N/A
Transactions as of
11 Nov 2021
Net transactions value
-$46,235
Form type
4/A - Amendment
Filing time
08 Jul 2022, 21:12:32 UTC
Date Of Original Report
17 Mar 2022
Previous filing
27 Oct 2021
Next filing
15 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 +8,840 +160% $0.000000 14,360 11 Nov 2021 Direct F1
transaction RKLY Ordinary Share Tax liability $14,017 -3,622 -25% $3.87* 10,738 11 Nov 2021 Direct F1
transaction RKLY Ordinary Share Options Exercise $0 +3,089 +29% $0.000000 13,827 11 Nov 2021 Direct F2
transaction RKLY Ordinary Share Tax liability $6,236 -1,599 -12% $3.90* 12,228 11 Nov 2021 Direct F2
transaction RKLY Ordinary Share Options Exercise $0 +8,840 +72% $0.000000 21,068 11 Feb 2022 Direct F3
transaction RKLY Ordinary Share Tax liability $19,746 -5,063 -24% $3.90* 16,005 11 Feb 2022 Direct F3
transaction RKLY Ordinary Share Options Exercise $0 +3,090 +19% $0.000000 19,095 11 Feb 2022 Direct F3
transaction RKLY Ordinary Share Tax liability $6,236 -1,599 -8.4% $3.90* 17,496 11 Feb 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 -8,840 -6.2% $0.000000 132,603 11 Nov 2021 Ordinary Share 8,840 $0.000000 Direct F1
transaction RKLY Restricted Stock Unit Options Exercise $0 -3,089 -6.2% $0.000000 46,345 11 Nov 2021 Ordinary Share 3,089 Direct F2
transaction RKLY Restricted Stock Unit Options Exercise $0 -8,840 -6.7% $0.000000 123,763 11 Feb 2022 Ordinary Share 8,840 $0.000000 Direct F3
transaction RKLY Restricted Stock Unit Options Exercise $0 -3,090 -6.7% $0.000000 43,255 11 Feb 2022 Ordinary Share 3,090 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Mahesh Karanth is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

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 11/11/2021; 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 2/11/2022; however, the transaction was not executed by the plan administrator until 3/15/2022.