Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| indie Semiconductor, Inc.INDI · Entity 2432 | Chief Technology Officer | November 11, 2022 | November 15, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
indie Semiconductor, Inc.
Report date November 11, 2022 · Filed November 15, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class V Common StockSEC Table I · non-derivative | Direct | 5,159,514 |
Reported balance
After 2022-11-11 transaction · row 1
1 source rowRow 1 · 2022-11-11 · Exercise / conversion · Disposed 200,000 · Balance 5,159,514 F1: 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 StockSEC Table I · non-derivative | Direct | 669 |
Ending reported balance
After 2022-11-11 transaction · row 4
3 source rows · reconciled sequenceRow 2 · 2022-11-11 · Exercise / conversion · Acquired 200,000 · Balance 200,669 F2: 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 amount 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. Row 3 · 2022-11-11 · Sale · Disposed 178,721 · Balance 21,948 F3: Represents shares of Class A common stock sold in the open market pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 17, 2022. The Reporting Person's Rule 10b5-1 plan includes a series of automated open market sales with a range of predetermined prices through December 16, 2023. F4: 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 $8.25 to $9.24, 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. Row 4 · 2022-11-11 · Sale · Disposed 21,279 · Balance 669 F3: Represents shares of Class A common stock sold in the open market pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 17, 2022. The Reporting Person's Rule 10b5-1 plan includes a series of automated open market sales with a range of predetermined prices through December 16, 2023. F5: 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 $9.25 to $9.33, 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. |
| ADK Class A UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 5,159,514 |
Reported balance
After 2022-11-11 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-11-11 · Exercise / conversion · Disposed 200,000 · Balance 5,159,514 F2: 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 amount 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. F6: N/A |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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 amount 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.
F3: Represents shares of Class A common stock sold in the open market pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 17, 2022. The Reporting Person's Rule 10b5-1 plan includes a series of automated open market sales with a range of predetermined prices through December 16, 2023.
F4: 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 $8.25 to $9.24, 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.
F5: 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 $9.25 to $9.33, 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.
F6: N/A
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 17, 2021 Filed Dec 20, 2021 20:05 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | Exercise / conversionClass A Common Stock | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001865420-21-000004 · wf-form4_164004870154070.xml · nonDerivative · entry 5 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,633 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: 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 amount 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. Read SEC document |
| December 17, 2021 Filed Dec 20, 2021 20:05 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | Exercise / conversionClass V Common Stock | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001865420-21-000004 · wf-form4_164004870154070.xml · nonDerivative · entry 4 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,428,649 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. Read SEC document |
| December 16, 2021 Filed Dec 20, 2021 20:05 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | Exercise / conversionADK Class A Units · Derivative | 5,700 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001865420-21-000004 · wf-form4_164004870154070.xml · derivative · entry 7 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,728,649 Underlying: Class A Common Stock · 5,700 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: 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 amount 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. F3 · derivative.expiration_date: N/A Read SEC document |
| December 16, 2021 Filed Dec 20, 2021 20:05 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | SaleClass A Common Stock | 5,700 | $12.25 | $69,825.00 |
DisclosureSEC source: 0001865420-21-000004 · wf-form4_164004870154070.xml · nonDerivative · entry 3 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 633 Read SEC document |
| December 16, 2021 Filed Dec 20, 2021 20:05 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | Exercise / conversionClass A Common Stock | 5,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001865420-21-000004 · wf-form4_164004870154070.xml · nonDerivative · entry 2 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,333 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: 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 amount 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. Read SEC document |
| December 16, 2021 Filed Dec 20, 2021 20:05 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | Exercise / conversionClass V Common Stock | 5,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001865420-21-000004 · wf-form4_164004870154070.xml · nonDerivative · entry 1 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,728,649 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. Read SEC document |
| December 13, 2021 Filed Dec 14, 2021 20:10 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | Exercise / conversionADK Class A Units · Derivative | 247,660 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001865420-21-000003 · wf-form4_163953059747397.xml · derivative · entry 8 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,734,349 Underlying: Class A Common Stock · 247,660 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: 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 amount 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. F3 · derivative.expiration_date: N/A Read SEC document |
| December 13, 2021 Filed Dec 14, 2021 20:10 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | SaleClass A Common Stock | 247,660 | $11.93 | $2,954,583.80 |
DisclosureSEC source: 0001865420-21-000003 · wf-form4_163953059747397.xml · nonDerivative · entry 6 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 633 Read SEC document |
| December 13, 2021 Filed Dec 14, 2021 20:10 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | Exercise / conversionClass A Common Stock | 247,660 | $0.00 | $0.00 |
DisclosureSEC source: 0001865420-21-000003 · wf-form4_163953059747397.xml · nonDerivative · entry 5 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,293 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: 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 amount 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. Read SEC document |
| December 13, 2021 Filed Dec 14, 2021 20:10 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | Exercise / conversionClass V Common Stock | 247,660 | $0.00 | $0.00 |
DisclosureSEC source: 0001865420-21-000003 · wf-form4_163953059747397.xml · nonDerivative · entry 4 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,734,349 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. Read SEC document |
| December 10, 2021 Filed Dec 14, 2021 20:10 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | Exercise / conversionADK Class A Units · Derivative | 352,340 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001865420-21-000003 · wf-form4_163953059747397.xml · derivative · entry 7 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,982,009 Underlying: Class A Common Stock · 352,340 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: 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 amount 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. F3 · derivative.expiration_date: N/A Read SEC document |
| December 10, 2021 Filed Dec 14, 2021 20:10 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | SaleClass A Common Stock | 352,340 | $12.08 | $4,256,267.20 |
DisclosureSEC source: 0001865420-21-000003 · wf-form4_163953059747397.xml · nonDerivative · entry 3 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 633 Read SEC document |
| December 10, 2021 Filed Dec 14, 2021 20:10 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | Exercise / conversionClass A Common Stock | 352,340 | $0.00 | $0.00 |
DisclosureSEC source: 0001865420-21-000003 · wf-form4_163953059747397.xml · nonDerivative · entry 2 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 352,973 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: 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 amount 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. Read SEC document |
| December 10, 2021 Filed Dec 14, 2021 20:10 UTC | indie Semiconductor, Inc. INDI · Entity 2432 | Exercise / conversionClass V Common Stock | 352,340 | $0.00 | $0.00 |
DisclosureSEC source: 0001865420-21-000003 · wf-form4_163953059747397.xml · nonDerivative · entry 1 Kee Scott David · CIK 0001865420 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,982,009 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.