Key facts
- This page summarizes Jeffrey W. Ubben's Form 4 filing for Nikola Corp (NKLAQ).
- 2 reported transactions and 0 derivative rows are listed below.
- Accepted by SEC: 26 Nov 2021, 16:45.
Jeffrey W. Ubben - 24 Nov 2021 Form 4 Insider Report for Nikola Corp (NKLAQ)
- Reporting relationship
- Director
- Issuer ticker
- NKLAQ
- Reported as of
- 24 Nov 2021
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 26 Nov 2021, 16:45:22 UTC
- Prior SEC filing
- 09 Aug 2021
- Next SEC filing
- 04 Jan 2022
- Source filing
- View source filing
- Reporting owner signature
- /s/ Jeffrey W. Ubben
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Jeffrey W. Ubben filed Form 4 for Nikola Corp (NKLAQ) on 26 Nov 2021.
Change
- Previous filing in this sequence was filed on 09 Aug 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
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
NKLA
transaction
Common Stock, par value $0.0001 per share ("Common Stock")
Other
- Transaction value
- Shares
- -3,552,006
- Change %
- -100%
- Price
- Shares after
- 0
- Date
- 24 Nov 2021
- Ownership
- See footnotes
- Footnotes
- F1, F5
NKLA
transaction
Common Stock
Gift
- Transaction value
- Shares
- -1,780,438
- Change %
- -98%
- Price
- Shares after
- 37,682
- Date
- 26 Nov 2021
- Ownership
- Direct
- Footnotes
- F2, F3, F5
NKLA
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 10,275,437
- Date
- 24 Nov 2021
- Ownership
- See footnotes
- Footnotes
- F4, F5
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 5 footnotes
Footnote F1
Represents a pro rata in-kind distribution (the "Pro Rata Distribution") of shares of common stock of Nikola Corporation (the "Issuer") by Spring NM, LLC ("Spring NM") to the members of Spring NM without consideration. The Reporting Person is the managing member of Spring NM.
Footnote F2
The Reporting Person received 1,780,438 shares of common stock of the Issuer in the Pro Rata Distribution and subsequently made a gift of such securities.
Footnote F3
Shares of common stock issuable upon settlement of restricted stock units awarded to the Reporting Person. The Reporting Person is deemed to hold the awards for the benefit of funds (the "In-Cap Funds") managed by Inclusive Capital Partners, L.P. ("In-Cap") and In-Cap.
Footnote F4
The securities reported herein are held by the In-Cap Funds. In-Cap acts as investment manager to the In-Cap Funds. The Reporting Person indirectly controls In-Cap.
Footnote F5
The filing of this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein.