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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 | ||||||||
Restricted Stock Units | (1) | 03/31/2022 | M | 1,054 | (3) | (3) | Common Stock | 1,054 | $ 0 | 1,055 | D (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Reichow Gregory C/O ENOVIX CORPORATION 3501 W. WARREN AVENUE FREMONT, CA 94538 |
X |
/s/ Edward J. Hejlek, Attorney-in-Fact for Gregory Reichow | 04/04/2022 | |
**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) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. |
(2) | Pursuant to the Eclipse GP III, LLC ("Eclipse GP III") LLC Agreement, the Reporting Person is deemed to hold the RSUs for the benefit of Eclipse Ventures, LLC ("Eclipse"), which is entitled to hold the shares upon settlement of the RSUs. Eclipse may be deemed the indirect beneficial owner of such shares, and the Reporting Person is a partner of and may be deemed to share voting and dispositive power over shares held by Eclipse. The Reporting Person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. |
(3) | On October 20, 2021, the Reporting Person was granted 4,217 RSUs, of which 25% vested on the grant date and the remainder vest in three equal installments on each of December 31, 2021, March 31, 2022 and June 30, 2022, subject to the Reporting Person's continuous service through each applicable vesting date. |