Battery Management Corp. - 09 May 2022 Form 4 Insider Report for Amplitude, Inc. (AMPL)

Source evidence Original filing metadata and source links for verification. 4 source fields
SEC form
4
Accepted by SEC
11 May 2022, 16:26:57 UTC
Prior SEC filing
01 Dec 2021
Source filing
View source filing
Reporting owner 1 detail
Reporting owner signature
/s/ Christopher Schiavo, as Attorney-in-Fact for Battery Management Corp.

Key filing fact

Battery Management Corp. filed Form 4 for Amplitude, Inc. (AMPL) on 11 May 2022.

Key facts

  • This page summarizes Battery Management Corp.'s Form 4 filing for Amplitude, Inc. (AMPL).
  • 10 reported transactions and 7 derivative rows are listed below.
  • Accepted by SEC: 11 May 2022, 16:26.

Change

  • Previous filing in this sequence was filed on 01 Dec 2021.
  • Current net transaction value: $0.

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

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

AMPL transaction

Class A Common Stock

Conversion of derivative security

Transaction value
$0
Shares
+90,000
Change %
+465%
Price
$0.000000
Shares after
109,373
Date
09 May 2022
Ownership
By Battery Investment Partners XI, LLC
Footnotes
F1, F2
AMPL transaction

Class A Common Stock

Conversion of derivative security

Transaction value
$0
Shares
+1,941,905
Change %
+465%
Price
$0.000000
Shares after
2,359,937
Date
09 May 2022
Ownership
By Battery Ventures XI-A, L.P.
Footnotes
F1, F3
AMPL transaction

Class A Common Stock

Conversion of derivative security

Transaction value
$0
Shares
+513,095
Change %
+465%
Price
$0.000000
Shares after
623,549
Date
09 May 2022
Ownership
By Battery Ventures XI-B, L.P.
Footnotes
F1, F4
AMPL transaction

Class A Common Stock

Conversion of derivative security

Transaction value
$0
Shares
+2,017,519
Change %
+465%
Price
$0.000000
Shares after
2,451,829
Date
09 May 2022
Ownership
By Battery Ventures XI-A Side Fund, L.P.
Footnotes
F1, F5
AMPL transaction

Class A Common Stock

Conversion of derivative security

Transaction value
$0
Shares
+437,481
Change %
+465%
Price
$0.000000
Shares after
531,657
Date
09 May 2022
Ownership
By Battery Ventures XI-B Side Fund, L.P.
Footnotes
F1, F6
AMPL holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
25,544
Date
09 May 2022
Ownership
Direct
Footnotes
F7, F8, F9, F10
AMPL holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
8,742
Date
09 May 2022
Ownership
By Trust
Footnotes
F7, F8, F9, F11
AMPL holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
29,930
Date
09 May 2022
Ownership
Direct
Footnotes
F7, F8, F9, F12
AMPL holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
3,192
Date
09 May 2022
Ownership
By Trust
Footnotes
F7, F8, F9, F13
AMPL holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
39,152
Date
09 May 2022
Ownership
Direct
Footnotes
F7, F8, F9, F14
AMPL holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
68,574
Date
09 May 2022
Ownership
By Trust
Footnotes
F7, F8, F9, F15
AMPL holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
64,697
Date
09 May 2022
Ownership
By Trust
Footnotes
F7, F8, F9, F16
AMPL holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
39,152
Date
09 May 2022
Ownership
By Trust
Footnotes
F7, F8, F9, F17
AMPL holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
23,604
Date
09 May 2022
Ownership
Direct
Footnotes
F7, F8, F9, F18

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

AMPL transaction Derivative

Class B Common Stock

Conversion of derivative security

Transaction value
$0
Shares
-90,000
Change %
-53%
Price
$0.000000
Shares after
81,206
Date
09 May 2022
Ownership
By Battery Investment Partners XI, LLC
Underlying class
Class A Common Stock
Underlying amount
90,000
Exercise price
Footnotes
F1, F2, F19
AMPL transaction Derivative

Class B Common Stock

Conversion of derivative security

Transaction value
$0
Shares
-1,941,905
Change %
-53%
Price
$0.000000
Shares after
1,752,173
Date
09 May 2022
Ownership
By Battery Ventures XI-A, L.P.
Underlying class
Class A Common Stock
Underlying amount
1,941,905
Exercise price
Footnotes
F1, F3, F19
AMPL transaction Derivative

Class B Common Stock

Conversion of derivative security

Transaction value
$0
Shares
-513,095
Change %
-53%
Price
$0.000000
Shares after
462,963
Date
09 May 2022
Ownership
By Battery Ventures XI-B, L.P.
Underlying class
Class A Common Stock
Underlying amount
513,095
Exercise price
Footnotes
F1, F4, F19
AMPL transaction Derivative

Class B Common Stock

Conversion of derivative security

Transaction value
$0
Shares
-2,017,519
Change %
-53%
Price
$0.000000
Shares after
1,820,400
Date
09 May 2022
Ownership
By Battery Ventures XI-A Side Fund, L.P.
Underlying class
Class A Common Stock
Underlying amount
2,017,519
Exercise price
Footnotes
F1, F5, F19
AMPL transaction Derivative

Class B Common Stock

Conversion of derivative security

Transaction value
$0
Shares
-437,481
Change %
-53%
Price
$0.000000
Shares after
394,738
Date
09 May 2022
Ownership
By Battery Ventures XI-B Side Fund, L.P.
Underlying class
Class A Common Stock
Underlying amount
437,481
Exercise price
Footnotes
F1, F6, F19
AMPL holding Derivative

Class B Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
35,713
Date
09 May 2022
Ownership
By Battery Investment Partners Select Fund I, L.P.
Underlying class
Class A Common Stock
Underlying amount
35,713
Exercise price
Footnotes
F19, F20
AMPL holding Derivative

Class B Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
361,099
Date
09 May 2022
Ownership
By Battery Ventures Select Fund I, L.P.
Underlying class
Class A Common Stock
Underlying amount
361,099
Exercise price
Footnotes
F19, F21
* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 21 footnotes

Footnote F1

These shares of Class B common stock were converted on a one-for-one basis into Class A common stock.

Footnote F2

Shares held by Battery Investment Partners XI, LLC ("BIP XI"). Battery Partners XI, LLC ("BP XI") is the managing member of BIP XI and may be deemed to beneficially own the shares held by BIP XI. BP XI's investment adviser is Battery Management Corp ("BMC"). Neeraj Agrawal, Michael Brown, Jesse Feldman, Russell Fleischer, Roger Lee, Chelsea Stoner, Dharmesh Thakker, and Scott Tobin (collectively the "BP XI Managing Members") are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BIP XI. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. Mr. Agrawal is a director of the Issuer and files separate Section 16 reports.

Footnote F3

Shares held by Battery Ventures XI-A, L.P. ("BV XI-A"). BP XI is the general partner of BV XI-A and may be deemed to beneficially own the shares held by BV XI-A. BP XI's investment adviser is BMC. The BP XI Managing Members are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BP XI-A. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. Mr. Agrawal is a director of the Issuer and files separate Section 16 reports.

Footnote F4

Shares held by Battery Ventures XI-B, L.P. ("BV XI-B"). BP XI is the general partner of BV XI-B and may be deemed to beneficially own the shares held by BV XI-B. BP XI 's investment adviser is BMC. The BP XI Managing Members are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BP XI-B. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. Mr. Agrawal is a director of the Issuer and files separate Section 16 reports.

Footnote F5

Shares held by Battery Ventures XI-A Side Fund, L.P. ("BV XI-A SF"). Battery Partners XI Side Fund, LLC ("BP XI SF") is the general partner of BV XI-A SF and may be deemed to beneficially own the shares held by BV XI-A SF. BP XI SF's investment adviser is BMC. The BP XI Managing Members are the managing members of BP XI SF and may be deemed to share voting and dispositive power over the securities held by BP XI-A SF. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. Mr. Agrawal is a director of the Issuer and files separate Section 16 reports.

Footnote F6

Shares held by Battery Ventures XI-B Side Fund, L.P. ("BV XI-B SF"). BP XI SF is the general partner of BV XI-B SF and may be deemed to beneficially own the shares held by BV XI-B SF. BP XI SF's investment adviser is BMC. The BP XI Managing Members are the managing members of BP XI SF and may be deemed to share voting and dispositive power over the securities held by BP XI-B SF. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. Mr. Agrawal is a director of the Issuer and files separate Section 16 reports.

Footnote F7

The shares held by the Reporting Person reflect the receipt of shares pursuant to a pro rata distribution in kind, effected by BIP XI to its members for no additional consideration, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

Footnote F8

The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

Footnote F9

The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

Footnote F10

Shares are held by Michael M. Brown.

Footnote F11

Shares are held by The Michael M. Brown Irrevocable GST Trust of 2013 (the "Brown Trust"), of which Michael M. Brown's spouse is the trustee. Mr. Brown disclaims beneficial ownership of the shares held by the Brown Trust except to the extent of his proportionate pecuniary interest therein.

Footnote F12

Shares are held by Jesse Feldman.

Footnote F13

Shares are held by The Jesse Feldman Irrevocable Trust of 2016 (the "Feldman Trust"), of which Jesse Feldman's spouse is the trustee. Mr. Feldman disclaims beneficial ownership of the shares held by the Feldman Trust except to the extent of his proportionate pecuniary interest therein.

Footnote F14

Shares are held by Russell Fleischer.

Footnote F15

Shares are held by The Roger and Clarissa Lee Irrevocable GST Trust (the "Lee Trust"), of which Roger Lee's brother is the trustee. Mr. Lee disclaims beneficial ownership of the shares held by the Lee Trust except to the extent of his proportionate pecuniary interest therein.

Footnote F16

Shares are held by the Stoner Spiller Family Trust (the "Stoner Trust"), of which Chelsea R. Stoner is a trustee. Ms. Stoner disclaims beneficial ownership of the shares held by the Stoner Trust except to the extent of her proportionate pecuniary interest therein.

Footnote F17

Shares are held by the STAM Family Revocable Living Trust (the "Thakker Trust"), of which Dharmesh Thakker is a trustee. Mr. Thakker disclaims beneficial ownership of the shares held by the Thakker Trust except to the extent of his proportionate pecuniary interest therein.

Footnote F18

Shares are held by Scott R. Tobin.

Footnote F19

The Class B Common Stock is convertible at any time at the option of the holder into the Issuer's Class A Common Stock on a one-to-one basis. The Class B Common Stock will convert automatically into shares of the Issuer's Class A Common Stock on a one-to-one basis upon the earlier of (a) any transfer of the Class B Common Stock by the holder, whether or not for value, subject to certain exceptions or (b) the date that is six months following the date on which none of the Issuer's founders is an employee or director of the Issuer (unless a founder has rejoined the Issuer during such six-month period).

Footnote F20

Shares held by Battery Investment Partners Select Fund I, L.P. ("BIP Select I"). Battery Partners Select Fund I GP, LLC ("BP Select I GP") is the general partner of BIP Select I and may be deemed to beneficially own the shares held by BP Select I. BP Select I GP's investment adviser is BMC. The BP XI Managing Members and Morad Elhafed (collectively, the "BP Select Managing Members") are the managing members of BP Select I GP and may be deemed to share voting and dispositive power over the securities held by BIP Select I. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. Mr. Agrawal is a director of the Issuer and files separate Section 16 reports.

Footnote F21

Shares held by Battery Ventures Select Fund I, L.P. ("BV Select I"). Battery Partners Select Fund I, L.P. ("BP Select I") is the general partner of BV Select I, BP Select I GP is the general partner of BP Select I and may be deemed to beneficially own the shares held by BV Select I. BP Select I GP's investment adviser is BMC. The BP Select Managing Members are the managing members of BP Select I GP and may be deemed to share voting and dispositive power over the securities held by BV Select I. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. Mr. Agrawal is a director of the Issuer and files separate Section 16 reports.

SEC remarks

2 of 2: The number of joint filers exceeds the EDGAR maximum of 10 joint filers per Form. This Form 4 is being filed in conjunction with a Form 4 being filed by Battery Partners XI, LLC and other filing persons.

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