Filing Details
- Accession Number:
- 0001628280-24-029414
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-06-21 20:45:15
- Reporting Period:
- 2024-06-19
- Accepted Time:
- 2024-06-21 20:45:15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1841925 | Indie Semiconductor Inc. | INDI | Semiconductors & Related Devices (3674) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1865423 | Ichiro Aoki | 32 Journey Aliso Viejo CA 92656 | President | Yes | 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 V Common Stock | Disposition | 2024-06-20 | 75,000 | $0.00 | 5,064,362 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2024-06-20 | 75,000 | $0.00 | 111,631 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2024-06-20 | 75,000 | $6.26 | 36,631 | No | 4 | S | Direct | |
| Class V Common Stock | Disposition | 2024-06-21 | 75,000 | $0.00 | 4,989,362 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2024-06-21 | 75,000 | $0.00 | 111,631 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2024-06-21 | 75,000 | $6.24 | 36,631 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Restricted Stock Units | Acquisiton | 2024-06-19 | 17,500 | $0.00 | 17,500 | $0.00 |
| Class A Common Stock | ADK Class A Units | Disposition | 2024-06-20 | 75,000 | $0.00 | 75,000 | $0.00 |
| Class A Common Stock | ADK Class A Units | Disposition | 2024-06-21 | 75,000 | $0.00 | 75,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 17,500 | No | 4 | A | Direct | ||
| 5,064,362 | 2021-12-10 | No | 4 | M | Direct | |
| 4,989,362 | 2021-12-10 | No | 4 | M | Direct |
Footnotes
- Cancellation of Class V Common Stock upon Reporting Person's exchange of ADK Class A Units for an equal number of shares of Class A Common Stock. See note 2.
- Class A Common Stock received upon conversion of ADK Class A Units. The ADK Class A Units may be exchanged by the Reporting Person at any time after December 10, 2021 for an equal number of shares of Class A Common Stock or, at the election of the Issuer, cash equal to the fair market value of such shares. Upon the Reporting Person's exchange of an ADK Class A Unit for Class A Common Stock, an equivalent number of shares of Class V Common Stock will be cancelled.
- The sales made in this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 14, 2024. The Reporting Person's Rule 10b5-1 plan includes automated sales of the Issuer's Class A common stock on predetermined prices and dates through March 15, 2026.
- The price reported in Column 4 is a weighted average price. The shares reported in this Form 4 were sold in separate transactions at prices ranging from $6.14 to $6.42, 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 price range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. The shares reported in this Form 4 were sold in separate transactions at prices ranging from $6.10 to $6.38, 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 price range set forth in this footnote.
- Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock.
- The time-based restricted stock units shall vest and become nonforfeitable with respect to fifty percent (50%) of the total number of restricted stock units on March 1, 2025 and 2026.
- N/A
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