Statement of Changes in Beneficial Ownership (4)
01 Octobre 2021 - 10:06PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Sinha Saurabh |
2. Issuer Name and Ticker or Trading Symbol
Aeva Technologies, Inc.
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AEVA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
C/O AEVA TECHNOLOGIES, INC., 555 ELLIS STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/29/2021 |
(Street)
MOUNTAIN VIEW, CA 94043
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 9/29/2021 | | M | | 216042 | A | (1) | 216042 | D | |
Common Stock | 9/29/2021 | | F | | 107114 | D | $7.86 | 108928 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 9/29/2021 | | M | | | 216042 | (2) | (2) | Common Stock | 216042 | (3) | 820940 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. |
(2) | The restricted stock units vest as to (i) 25% of 864,155 of the underlying shares on September 29, 2021, and the remaining 75% of such underlying shares will vest in six equal semi-annual installments thereafter; and (ii) 25% of 172,827 of the underlying shares on March 12, 2022, and the remaining 75% of such underlying shares will vest in six equal semi-annual installments thereafter. The restricted stock units were granted on March 12, 2021. |
(3) | Pursuant to the Business Combination Agreement, dated November 2, 2020 (the "Business Combination Agreement"), by and among InterPrivate Acquisition Corp., WLLY Merger Sub Corp. and Aeva, Inc. ("Aeva"), each share of Aeva common stock issued and outstanding immediately prior to the effective time of the transactions contemplated by the Business Combination Agreement was automatically converted into the right to receive a number of shares of the Issuer's Common Stock based on a 1-to-9.07659 conversion ratio. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sinha Saurabh C/O AEVA TECHNOLOGIES, INC. 555 ELLIS STREET MOUNTAIN VIEW, CA 94043 |
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| Chief Financial Officer |
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Signatures
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/s/ Peter Chess, Attorney-in-Fact | | 10/1/2021 |
**Signature of Reporting Person | Date |
Aeva Technologies (NYSE:AEVA)
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