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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 9.2626 | 07/14/2021 | A(1) | 276,918 | (2) | 04/19/2031 | Common Stock | 276,918 | (3) | 276,918 | D | ||||
Stock Option (Right to Buy) | $ 9.2626 | 07/14/2021 | A(1) | 71,020 | (4) | 04/19/2031 | Common Stock | 71,020 | (5) | 71,020 | D | ||||
Stock Option (Right to Buy) | $ 9.2626 | 07/14/2021 | A(1) | 369,226 | (6) | 04/19/2031 | Common Stock | 369,226 | (7) | 369,226 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pietzke Steffen C/O ENOVIX CORPORATION 3501 W. WARREN AVENUE FREMONT, CA 94538 |
Chief Financial Officer |
/s/ Edward J. Hejlek, Attorney-in-Fact for Steffen Pietzke | 07/16/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Received pursuant to the Agreement and Plan of Merger, dated as of February 22, 2021, by and among Rodgers Silicon Valley Acquisition Corp, a Delaware corporation ("RSVAC"), RSVAC Merger Sub Inc., a Delaware corporation and wholly owned subsidiary of RSVAC ("Merger Sub"), and Enovix Corporation, a Delaware corporation ("Legacy Enovix"), pursuant to which (i) Merger Sub merged with and into Enovix, with Enovix surviving the merger as a wholly owned subsidiary of RSVAC and (ii) RSVAC changed its name to Enovix Corporation. |
(2) | The shares subject to the option are immediately exercisable. 1/5th of the shares subject to the option vest on the one year anniversary of the vesting commencement date, April 18, 2021, and 1/60th of the shares subject to the option will vest in 48 equal monthly installments thereafter, subject to Reporting Person's continuous service through each such vesting date. |
(3) | Received in exchange for a stock option to purchase 1,500,000 shares of Legacy Enovix Common Stock. |
(4) | The shares subject to the option are immediately exercisable. 1/120th of the shares subject to the option vest monthly over 4 years beginning on the vesting commencement date, April 18, 2021, and 1/20th of the shares subject to the option vest monthly thereafter over the next year, subject to Reporting Person's continuous service through each such vesting date. |
(5) | Received in exchange for a stock option to purchase 384,700 shares of Legacy Enovix Common Stock. |
(6) | The shares subject to the option are immediately exercisable. 1/4th of the shares subject to the option vest on the one year anniversary of the vesting commencement date, April 1, 2021, and 1/48th of the shares subject to the option will vest in 36 equal monthly installments thereafter, subject to Reporting Person's continuous service through each such vesting date. |
(7) | Received in exchange for a stock option to purchase 2,000,000 shares of Legacy Enovix Common Stock. |