Filing Details
- Accession Number:
- 0001209191-22-031644
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-05-24 17:00:40
- Reporting Period:
- 2022-05-20
- Accepted Time:
- 2022-05-24 17:00:40
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1811414 | Quantumscape Corp | QS | Miscellaneous Electrical Machinery, Equipment & Supplies (3690) | 850796578 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1834249 | Timothy Holme | C/O Quantumscape Corporation 1730 Technology Drive San Jose CA 95110 | Chief Technology Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2022-05-20 | 4,767 | $0.64 | 4,767 | No | 4 | M | Indirect | By: The Holme-Dang Living Trust dated 12/13/2015, Jessica Dang and Timothy Holme as trustees |
| Class A Common Stock | Acquisiton | 2022-05-20 | 178,525 | $0.64 | 183,292 | No | 4 | M | Indirect | By: The Holme-Dang Living Trust dated 12/13/2015, Jessica Dang and Timothy Holme as trustees |
| Class A Common Stock | Acquisiton | 2022-05-20 | 94,848 | $1.05 | 278,140 | No | 4 | M | Indirect | By: The Holme-Dang Living Trust dated 12/13/2015, Jessica Dang and Timothy Holme as trustees |
| Class A Common Stock | Acquisiton | 2022-05-20 | 21,860 | $1.05 | 300,000 | No | 4 | M | Indirect | By: The Holme-Dang Living Trust dated 12/13/2015, Jessica Dang and Timothy Holme as trustees |
| Class A Common Stock | Disposition | 2022-05-20 | 298,325 | $11.93 | 1,675 | No | 4 | S | Indirect | By: The Holme-Dang Living Trust dated 12/13/2015, Jessica Dang and Timothy Holme as trustees |
| Class A Common Stock | Disposition | 2022-05-20 | 1,675 | $12.51 | 0 | No | 4 | S | Indirect | By: The Holme-Dang Living Trust dated 12/13/2015, Jessica Dang and Timothy Holme as trustees |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Indirect | By: The Holme-Dang Living Trust dated 12/13/2015, Jessica Dang and Timothy Holme as trustees |
| No | 4 | M | Indirect | By: The Holme-Dang Living Trust dated 12/13/2015, Jessica Dang and Timothy Holme as trustees |
| No | 4 | M | Indirect | By: The Holme-Dang Living Trust dated 12/13/2015, Jessica Dang and Timothy Holme as trustees |
| No | 4 | M | Indirect | By: The Holme-Dang Living Trust dated 12/13/2015, Jessica Dang and Timothy Holme as trustees |
| No | 4 | S | Indirect | By: The Holme-Dang Living Trust dated 12/13/2015, Jessica Dang and Timothy Holme as trustees |
| No | 4 | S | Indirect | By: The Holme-Dang Living Trust dated 12/13/2015, Jessica Dang and Timothy Holme as trustees |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock | Stock Option (right to buy) | Disposition | 2022-05-20 | 4,767 | $0.00 | 4,767 | $0.64 |
| Class B Common Stock | Stock Option (right to buy) | Disposition | 2022-05-20 | 178,525 | $0.00 | 178,525 | $0.64 |
| Class A Common Stock | Stock Option (right to buy) | Disposition | 2022-05-20 | 94,848 | $0.00 | 94,848 | $1.05 |
| Class A Common Stock | Stock Option (right to buy) | Disposition | 2022-05-20 | 21,860 | $0.00 | 21,860 | $1.05 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 178,525 | 2014-02-13 | 2023-04-08 | No | 4 | M | Direct |
| 0 | 2014-02-13 | 2023-04-08 | No | 4 | M | Direct |
| 238,956 | 2018-02-27 | 2025-02-27 | No | 4 | M | Direct |
| 217,096 | 2018-02-27 | 2025-02-27 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 356,792 | Direct |
Footnotes
- The shares were initially acquired as Class B Common Stock via an option exercise, and then automatically converted on a one-to-one basis to Class A Common Stock in connection with the sale of the shares.
- Immediately upon the exercise of the option grant, the shares were registered in the name of the Reporting Person's family trust; therefore, the shares are indirectly owned.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in September 2021.
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.47 to $12.45, 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 ranges set forth in this footnote to this Form 4.
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.47 to $12.56, 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 ranges set forth in this footnote to this Form 4.
- Includes 291,412 shares represented by restricted stock units ("RSUs"). Each RSU represents the Reporting Person's right to receive one share of Class A Common Stock of the Issuer. A portion of the RSUs vest each quarter, subject to the Reporting Person's continued service as of each vesting date.
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