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Ouster, Inc.

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4380
SEC CIK
0001816581
Parsed reports
323

Last 12 months

Inside the activity.

3 purchase rows · 68 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202506
Jan 202601
Feb 202600
Mar 202616
Apr 2026010
May 2026224
Jun 202607
Jul 202600
Aug 202607
Sep 202606
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 11, 2021 Filed Mar 16, 2021 01:48 UTC GrantRestricted Stock Units · Derivative 15,446 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-011824 · doc4.xml · derivative · entry 2

DEL CALVO JORGE A · CIK 0001250152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,446

Underlying: Common Stock · 15,446 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: The RSUs vest as to 25% of the the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date. The RSUs have no expiration date.

F3 · derivative.expiration_date: The RSUs vest as to 25% of the the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date. The RSUs have no expiration date.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:48 UTC GrantRestricted Stock Units · Derivative 22,696 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-011824 · doc4.xml · derivative · entry 1

DEL CALVO JORGE A · CIK 0001250152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,696

Underlying: Common Stock · 22,696 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The RSUs vest as to 1/12 of the the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date. The RSUs have no expiration date.

F2 · derivative.expiration_date: The RSUs vest as to 1/12 of the the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date. The RSUs have no expiration date.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:46 UTC
Frichtl MarkChief Technology Officer
GrantStock Option · Derivative 3,164,350 $0.00 Strike: $1.43 $0.00
Disclosure

SEC source: 0000899243-21-011819 · doc4.xml · derivative · entry 3

Frichtl Mark · CIK 0001847596 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,164,350

Underlying: Common Stock · 3,164,350 shares

Expires 2030-10-01

F2 · shares: At the Effective Time, each outstanding option to purchase shares of Ouster Technologies common stock (each an "Ouster Technologies Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer equal to (i) the number of shares of Ouster Technologies common stock subject to the applicable Ouster Technologies Option multiplied by (ii) the Exchange Ratio, rounded down to the nearest whole share.

F1 · price: On March 11, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2020, by and among the Issuer, Beam Merger Sub, Inc. ("Merger Sub") and Ouster Technologies, Inc. ("Ouster Technologies"), Merger Sub merged with and into Ouster Technologies with Ouster Technologies surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger (the "Effective Time"), each issued and outstanding share of common stock of Ouster Technologies was automatically cancelled and converted into approximately 0.703 (the "Exchange Ratio") shares of common stock of the Issuer.

F3 · derivative.exercise_date: Represents an award of stock options on October 2, 2020, which vests in 48 monthly installments thereafter, subject to the reporting person's continued service through the applicable vesting date.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:46 UTC
Frichtl MarkChief Technology Officer
GrantStock Option · Derivative 3,164,350 $0.00 Strike: $0.22 $0.00
Disclosure

SEC source: 0000899243-21-011819 · doc4.xml · derivative · entry 2

Frichtl Mark · CIK 0001847596 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,164,350

Underlying: Common Stock · 3,164,350 shares

Expires 2030-10-01

F2 · shares: At the Effective Time, each outstanding option to purchase shares of Ouster Technologies common stock (each an "Ouster Technologies Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer equal to (i) the number of shares of Ouster Technologies common stock subject to the applicable Ouster Technologies Option multiplied by (ii) the Exchange Ratio, rounded down to the nearest whole share.

F1 · price: On March 11, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2020, by and among the Issuer, Beam Merger Sub, Inc. ("Merger Sub") and Ouster Technologies, Inc. ("Ouster Technologies"), Merger Sub merged with and into Ouster Technologies with Ouster Technologies surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger (the "Effective Time"), each issued and outstanding share of common stock of Ouster Technologies was automatically cancelled and converted into approximately 0.703 (the "Exchange Ratio") shares of common stock of the Issuer.

F3 · derivative.exercise_date: Represents an award of stock options on October 2, 2020, which vests in 48 monthly installments thereafter, subject to the reporting person's continued service through the applicable vesting date.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:46 UTC
Frichtl MarkChief Technology Officer
GrantCommon stock 3,343,636 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-011819 · doc4.xml · nonDerivative · entry 1

Frichtl Mark · CIK 0001847596 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,343,636

F1 · price: On March 11, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2020, by and among the Issuer, Beam Merger Sub, Inc. ("Merger Sub") and Ouster Technologies, Inc. ("Ouster Technologies"), Merger Sub merged with and into Ouster Technologies with Ouster Technologies surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger (the "Effective Time"), each issued and outstanding share of common stock of Ouster Technologies was automatically cancelled and converted into approximately 0.703 (the "Exchange Ratio") shares of common stock of the Issuer.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:44 UTC GrantRestricted Stock Units · Derivative 15,446 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-011810 · doc4.xml · derivative · entry 2

Mitra Sundari · CIK 0001466128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,446

Underlying: Common Stock · 15,446 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: The RSUs vest as to 25% of the the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date. The RSUs have no expiration date.

F3 · derivative.expiration_date: The RSUs vest as to 25% of the the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date. The RSUs have no expiration date.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:44 UTC GrantRestricted Stock Units · Derivative 22,696 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-011810 · doc4.xml · derivative · entry 1

Mitra Sundari · CIK 0001466128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,696

Underlying: Common Stock · 22,696 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The RSUs vest as to 1/12 of the the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date. The RSUs have no expiration date.

F2 · derivative.expiration_date: The RSUs vest as to 1/12 of the the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date. The RSUs have no expiration date.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:44 UTC
Heystee SusanDirector · See Remarks
GrantRestricted Stock Units · Derivative 15,446 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-011813 · doc4.xml · derivative · entry 4

Heystee Susan · CIK 0001334330 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,446

Underlying: Common Stock · 15,446 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: The RSUs vest as to 25% of the the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date. The RSUs have no expiration date.

F4 · derivative.expiration_date: The RSUs vest as to 25% of the the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date. The RSUs have no expiration date.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:44 UTC
Heystee SusanDirector · See Remarks
GrantRestricted Stock Units · Derivative 22,696 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-011813 · doc4.xml · derivative · entry 3

Heystee Susan · CIK 0001334330 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,696

Underlying: Common Stock · 22,696 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: The RSUs vest as to 1/12 of the the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date. The RSUs have no expiration date.

F3 · derivative.expiration_date: The RSUs vest as to 1/12 of the the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date. The RSUs have no expiration date.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:44 UTC
Heystee SusanDirector · See Remarks
GrantCommon stock 70,318 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-011813 · doc4.xml · nonDerivative · entry 2

Heystee Susan · CIK 0001334330 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 174,016

F1 · price: On March 11, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2020, by and among the Issuer, Beam Merger Sub, Inc. ("Merger Sub") and Ouster Technologies, Inc. ("Ouster Technologies"), Merger Sub merged with and into Ouster Technologies with Ouster Technologies surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger, each issued and outstanding share of common stock of Ouster Technologies was automatically cancelled and converted into approximately 0.703 shares of common stock of the Issuer.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:44 UTC
Heystee SusanDirector · See Remarks
GrantCommon stock 103,698 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-011813 · doc4.xml · nonDerivative · entry 1

Heystee Susan · CIK 0001334330 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,698

F1 · price: On March 11, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2020, by and among the Issuer, Beam Merger Sub, Inc. ("Merger Sub") and Ouster Technologies, Inc. ("Ouster Technologies"), Merger Sub merged with and into Ouster Technologies with Ouster Technologies surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger, each issued and outstanding share of common stock of Ouster Technologies was automatically cancelled and converted into approximately 0.703 shares of common stock of the Issuer.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:43 UTC
BRUNELLE ANNA S.Chief Financial Officer
GrantCommon stock 1,372,972 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-011807 · doc4.xml · nonDerivative · entry 1

Brunelle Anna · CIK 0001445390 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,372,972

F1 · price: On March 11, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2020, by and among the Issuer, Beam Merger Sub, Inc. ("Merger Sub") and Ouster Technologies, Inc. ("Ouster Technologies"), Merger Sub merged with and into Ouster Technologies with Ouster Technologies surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger, each issued and outstanding share of common stock of Ouster Technologies was automatically cancelled and converted into approximately 0.703 shares of common stock of the Issuer.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:42 UTC
Pasek MyraSee Remarks
GrantCommon stock 616,556 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-011805 · doc4.xml · nonDerivative · entry 1

Pasek Myra · CIK 0001847467 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 616,556

F1 · price: On March 11, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2020, by and among the Issuer, Beam Merger Sub, Inc. ("Merger Sub") and Ouster Technologies, Inc. ("Ouster Technologies"), Merger Sub merged with and into Ouster Technologies with Ouster Technologies surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger, each issued and outstanding share of common stock of Ouster Technologies was automatically cancelled and converted into approximately 0.703 shares of common stock of the Issuer.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:41 UTC
SPENCER DARIENSee Remarks
GrantCommon stock 1,103,361 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-011802 · doc4.xml · nonDerivative · entry 1

SPENCER DARIEN · CIK 0001226378 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,103,361

F1 · price: On March 11, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2020, by and among the Issuer, Beam Merger Sub, Inc. ("Merger Sub") and Ouster Technologies, Inc. ("Ouster Technologies"), Merger Sub merged with and into Ouster Technologies with Ouster Technologies surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger, each issued and outstanding share of common stock of Ouster Technologies was automatically cancelled and converted into approximately 0.703 shares of common stock of the Issuer.

Read SEC document
March 11, 2021 Filed Mar 16, 2021 01:36 UTC GrantCommon Stock 391,667 $10.00 $3,916,670.00
Disclosure

SEC source: 0000899243-21-011788 · doc4.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 391,667

Read SEC document
March 11, 2021 Filed Mar 15, 2022 20:46 UTC Amendment GrantCommon Stock 15,446 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011053 · doc4a.xml · nonDerivative · entry 2

Mitra Sundari · CIK 0001466128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,142

F3 · shares: Reflects an award of RSUs. The RSUs vest as to 25% of the the total number of RSUs on each quarterly anniversary of the grant date. The Reporting Person will settle all awards of common stock received in 2021, including vested restricted stock units, on April 30, 2026. The Reporting Person will settle all awards of common stock received in 2022, including vested restricted stock units, on January 1, 2027. The RSUs were previously reported in Table II.

F2 · price: Each RSU represents a contingent right to receive one share of common stock.

Read SEC document
March 11, 2021 Filed Mar 15, 2022 20:46 UTC Amendment GrantCommon Stock 22,696 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011053 · doc4a.xml · nonDerivative · entry 1

Mitra Sundari · CIK 0001466128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,696

F1 · shares: Reflects an award of restricted stock units ("RSUs"). The RSUs vest as to 1/12 of the the total number of RSUs on each quarterly anniversary of the grant date. The Reporting Person will settle all awards of common stock received in 2021, including vested restricted stock units, on April 30, 2026. The Reporting Person will settle all awards of common stock received in 2022, including vested restricted stock units, on January 1, 2027. The RSUs were previously reported in Table II.

F2 · price: Each RSU represents a contingent right to receive one share of common stock.

Read SEC document
March 11, 2021 Filed Mar 15, 2022 20:47 UTC Amendment GrantCommon Stock 15,446 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011054 · doc4a.xml · nonDerivative · entry 2

DEL CALVO JORGE A · CIK 0001250152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,142

F3 · shares: Reflects an award of RSUs. The RSUs vest as to 25% of the the total number of RSUs on each quarterly anniversary of the grant date. The Reporting Person will settle all awards of common stock received in 2021, including vested restricted stock units, on March 8, 2036. The Reporting Person will settle all awards of common stock received in 2022, including vested restricted stock units, on December 18, 2041. The RSUs were previously reported in Table II.

F2 · price: Each RSU represents a contingent right to receive one share of common stock.

Read SEC document
March 11, 2021 Filed Mar 15, 2022 20:47 UTC Amendment GrantCommon Stock 22,696 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011054 · doc4a.xml · nonDerivative · entry 1

DEL CALVO JORGE A · CIK 0001250152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,696

F1 · shares: Reflects an award of restricted stock units ("RSUs"). The RSUs vest as to 1/12 of the the total number of RSUs on each quarterly anniversary of the grant date. The Reporting Person will settle all awards of common stock received in 2021, including vested restricted stock units, on March 8, 2036. The Reporting Person will settle all awards of common stock received in 2022, including vested restricted stock units, on December 18, 2041. The RSUs were previously reported in Table II.

F2 · price: Each RSU represents a contingent right to receive one share of common stock.

Read SEC document
March 11, 2021 Filed Mar 15, 2022 20:43 UTC Amendment GrantCommon Stock 15,446 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011048 · doc4a.xml · nonDerivative · entry 2

HERNANDEZ EMMANUEL T · CIK 0001186773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,142

F3 · shares: Reflects an award of RSUs. The RSUs vest as to 25% of the the total number of RSUs on each quarterly anniversary of the grant date, The Reporting Person will settle all awards of common stock received, including vested restricted stock units, upon the earlier of a change in control or separation from service with the Issuer. The RSUs were previously reported in Table II.

F2 · price: Each RSU represents a contingent right to receive one share of common stock.

Read SEC document
March 11, 2021 Filed Mar 15, 2022 20:43 UTC Amendment GrantCommon Stock 22,696 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011048 · doc4a.xml · nonDerivative · entry 1

HERNANDEZ EMMANUEL T · CIK 0001186773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,696

F1 · shares: Reflects an award of restricted stock units ("RSUs"). The RSUs vest as to 1/12 of the the total number of RSUs on each quarterly anniversary of the grant date, The Reporting Person will settle all awards of common stock received, including vested restricted stock units, upon the earlier of a change in control or separation from service with the Issuer. The RSUs were previously reported in Table II.

F2 · price: Each RSU represents a contingent right to receive one share of common stock.

Read SEC document
December 22, 2020 Filed Dec 28, 2020 23:51 UTC
GLAZER PAUL J10% owner
SaleClass A ordinary shares, par value $0.0001 1,425,000 $13.78 $19,636,500.00
Disclosure

SEC source: 0001076809-20-000339 · cla20201228.xml · nonDerivative · entry 1

GLAZER CAPITAL, LLC · CIK 0001076809 · 10% owner

GLAZER PAUL J · CIK 0001133985 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1.

Disclosed balance after: 1,074,900

F1 · ownership.nature: The securities reported herein are held by certain funds and accounts to which Glazer Capital, LLC, a Delaware limited liability company, serves as investment manager. Mr. Paul J. Glazer serves as the Managing Member of Glazer Capital, LLC. Each of Glazer Capital, LLC and Mr. Paul J. Glazer disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

Read SEC document
December 02, 2020 Filed Dec 4, 2020 22:50 UTC
GLAZER PAUL J10% owner
PurchaseClass A Common Stock 10,000 $9.80 $98,000.00
Disclosure

SEC source: 0001076809-20-000289 · primary_doc.xml · nonDerivative · entry 1

GLAZER CAPITAL, LLC · CIK 0001076809 · 10% owner

GLAZER PAUL J · CIK 0001133985 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1.

Disclosed balance after: 2,499,900

F1 · ownership.nature: The securities reported herein are held by certain funds and accounts to which Glazer Capital, LLC, a Delaware limited liability company, serves as investment manager. Mr. Paul J. Glazer serves as the Managing Member of Glazer Capital, LLC. Each of Glazer Capital, LLC and Mr. Paul J. Glazer disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

Read SEC document
November 27, 2020 Filed Nov 30, 2020 23:28 UTC
GLAZER PAUL J10% owner
SaleClass A Ordinary Shares 5,000 $10.00 $50,000.00
Disclosure

SEC source: 0001076809-20-000267 · primary_doc.xml · nonDerivative · entry 2

GLAZER CAPITAL, LLC · CIK 0001076809 · 10% owner

GLAZER PAUL J · CIK 0001133985 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1.

Disclosed balance after: 2,489,900

F1 · ownership.nature: The securities reported herein are held by certain funds and accounts to which Glazer Capital, LLC, a Delaware limited liability company, serves as investment manager. Mr. Paul J. Glazer serves as the Managing Member of Glazer Capital, LLC. Each of Glazer Capital, LLC and Mr. Paul J. Glazer disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

Read SEC document
November 25, 2020 Filed Nov 30, 2020 23:28 UTC
GLAZER PAUL J10% owner
SaleClass A Ordinary Shares 5,000 $10.00 $50,000.00
Disclosure

SEC source: 0001076809-20-000267 · primary_doc.xml · nonDerivative · entry 1

GLAZER CAPITAL, LLC · CIK 0001076809 · 10% owner

GLAZER PAUL J · CIK 0001133985 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1.

Disclosed balance after: 2,494,900

F1 · ownership.nature: The securities reported herein are held by certain funds and accounts to which Glazer Capital, LLC, a Delaware limited liability company, serves as investment manager. Mr. Paul J. Glazer serves as the Managing Member of Glazer Capital, LLC. Each of Glazer Capital, LLC and Mr. Paul J. Glazer disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

Read SEC document
October 05, 2020 Filed Oct 26, 2020 16:50 UTC
Colonnade Sponsor LLCDirector · 10% owner
Sambuco JosephDirector · 10% owner
Disposition to issuerClass B Ordinary Shares, par value $0.0001 per share · Derivative 750,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-20-029224 · doc4.xml · derivative · entry 1

Colonnade Sponsor LLC · CIK 0001820778 · Director · 10% owner

Sambuco Joseph · CIK 0001708983 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000,000

Underlying: Class A Ordinary Shares · 750,000 shares

Expires not disclosed

F2 · derivative.exercise_price: The Class B ordinary shares, par value $0.0001 per share (the "Class B Shares") of Colonnade Acquisition Corp. (the "Issuer") have no expiration date and are convertible into shares of Class A ordinary shares, par value $0.0001 per share of the Issuer, as described under the heading "Description of Securities" in the Issuer's registration statement on Form S-1 (File No. 333-240378).

F3 · kind: The Sponsor forfeited 750,000 Class B Shares to the Issuer for no consideration, which was exempted pursuant to Rule 16b-3(e) under the Securities Exchange Act of 1934, as amended, in connection with the underwriters' election not to exercise the overallotment option at the end of the 45-day option period on October 5, 2020.

F2 · derivative.exercise_date: The Class B ordinary shares, par value $0.0001 per share (the "Class B Shares") of Colonnade Acquisition Corp. (the "Issuer") have no expiration date and are convertible into shares of Class A ordinary shares, par value $0.0001 per share of the Issuer, as described under the heading "Description of Securities" in the Issuer's registration statement on Form S-1 (File No. 333-240378).

F2 · derivative.expiration_date: The Class B ordinary shares, par value $0.0001 per share (the "Class B Shares") of Colonnade Acquisition Corp. (the "Issuer") have no expiration date and are convertible into shares of Class A ordinary shares, par value $0.0001 per share of the Issuer, as described under the heading "Description of Securities" in the Issuer's registration statement on Form S-1 (File No. 333-240378).

F3 · derivative.underlying_shares: The Sponsor forfeited 750,000 Class B Shares to the Issuer for no consideration, which was exempted pursuant to Rule 16b-3(e) under the Securities Exchange Act of 1934, as amended, in connection with the underwriters' election not to exercise the overallotment option at the end of the 45-day option period on October 5, 2020.

F1 · ownership.direct: This form is being filed by the following reporting persons: Colonnade Sponsor LLC (the "Sponsor") and Joseph S. Sambuco (and together with the Sponsor, the "Reporting Persons"). Because of the relationships among the Reporting Persons described in footnote 4, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of their respective pecuniary interests. Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

F2 · ownership.direct: The Class B ordinary shares, par value $0.0001 per share (the "Class B Shares") of Colonnade Acquisition Corp. (the "Issuer") have no expiration date and are convertible into shares of Class A ordinary shares, par value $0.0001 per share of the Issuer, as described under the heading "Description of Securities" in the Issuer's registration statement on Form S-1 (File No. 333-240378).

F4 · ownership.direct: Joseph S. Sambuco is the manager of the Sponsor and thus may be deemed to beneficially own the Class B Shares owned by the Sponsor.

F5 · ownership.direct: Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.