Jonathan Bornstein - 07 Nov 2023 Form 4 Insider Report for Amprius Technologies, Inc. (AMPX)

Role
President of Amprius Lab
Signature
/s/ Sandra Wallach, attorney-in-fact on behalf of Jonathan Bornstein
Issuer symbol
AMPX
Transactions as of
07 Nov 2023
Net transactions value
-$360,619
Form type
4
Filing time
09 Nov 2023, 18:04:36 UTC
Previous filing
12 Oct 2023
Next filing
21 Nov 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMPX Common stock Options Exercise $1,240 +24,809 $0.0500* 24,809 07 Nov 2023 Direct F1
transaction AMPX Common stock Sale $80,421 -24,809 -100% $3.24 0 07 Nov 2023 Direct F1, F2
transaction AMPX Common stock Options Exercise $2,403 +48,052 $0.0500* 48,052 08 Nov 2023 Direct F1
transaction AMPX Common stock Sale $146,664 -48,052 -100% $3.05 0 08 Nov 2023 Direct F1, F3
transaction AMPX Common stock Options Exercise $2,475 +49,508 $0.0500* 49,508 09 Nov 2023 Direct F1
transaction AMPX Common stock Sale $139,652 -49,508 -100% $2.82 0 09 Nov 2023 Direct F1, F4

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) Options Exercise $0 -24,809 -1.3% $0.000000 1,859,042 07 Nov 2023 Common stock 24,809 $0.0500 Direct F1
transaction AMPX Stock Option (right to buy) Options Exercise $0 -48,052 -2.6% $0.000000 1,810,990 08 Nov 2023 Common stock 48,052 $0.0500 Direct F1
transaction AMPX Stock Option (right to buy) Options Exercise $0 -49,508 -2.7% $0.000000 1,761,482 09 Nov 2023 Common stock 49,508 $0.0500 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The exercises and sales reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2023.
F2 The price reported in Column 4 is an average execution price. These shares were sold in multiple transactions at prices ranging from $3.12 to $3.45, 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 range set forth above.
F3 The price reported in Column 4 is an average execution price. These shares were sold in multiple transactions at prices ranging from $2.94 to $3.33, 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 range set forth above.
F4 The price reported in Column 4 is an average execution price. These shares were sold in multiple transactions at prices ranging from $2.72 to $3.08, 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 range set forth above.