Filing Details
- Accession Number:
- 0001104659-23-042141
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-04-05 16:03:43
- Reporting Period:
- 2023-03-20
- Accepted Time:
- 2023-04-05 16:03:43
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1798562 | Tmc The Metals Co Inc. | TMC | Metal Mining (1000) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1874198 | Anthony O'sullivan | C/O Tmc The Metals Company Inc., 595 Howe Street, 10Th Floor Vancouver A1 V6C 2T5 | Chief Development 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Shares | Acquisiton | 2023-03-20 | 243,223 | $0.00 | 555,723 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2023-03-20 | 200,277 | $0.00 | 756,000 | No | 4 | A | Direct | |
| Common Shares | Disposition | 2023-03-28 | 97,393 | $0.72 | 658,607 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2023-03-29 | 85,170 | $0.72 | 573,437 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2023-03-30 | 60,660 | $0.78 | 512,777 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Shares | 575,110 | Indirect | JOZEM Pty Ltd., Trustee of the O'Sullivan Family Trust No. 1 |
Footnotes
- Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one common share upon vesting. The RSUs were granted and vested upon issuance as part of the Issuer's short-term incentive plan.
- The RSUs were granted as part of the Issuer's long-term incentive plan and vest over a three year period as follows, subject to continued service through each vesting date: 1/3 on the first anniversary of March 20, 2023 (the "Grant Date"), 1/3 on the second anniversary of the Grant Date and 1/3 on the third anniversary of the Grant Date.
- The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $0.70 to $0.7801 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.
- The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $0.7050 to $0.7461 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.
- The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $0.75 to $0.80 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.
- The Reporting Person is the sole director of JOZEM Pty Ltd., which is the trustee of The O'Sullivan Family Trust No. 1.
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