SEC Form 4 · accession 0001280263-15-000002
AMBARELLA INC · AMBA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leslie Kohn
Officer — CTO · Director
Period of report
Jan 7, 2015
Accepted (ET)
Jan 9, 2015 · 6:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001280263
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Jan 7, 2015 | M | 741 | $8.82 | A | 828,037 | D | |
| Ordinary Shares | Jan 7, 2015 | M | 22,817 | $2.93 | A | 850,854 | D | |
| Ordinary Shares | Jan 7, 2015 | M | 14,442 | $3.20 | A | 865,296 | D | |
| Ordinary Shares | Jan 7, 2015 | S | 38,000 | $58.00 | D | 827,296 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F2 | $2.93 | Jan 7, 2015 | M | 22,817 | D | — | Jul 9, 2018 | Ordinary Shares | 22,817 | 66,071 | D |
| Incentive Stock Option (right to buy)F3 | $3.20 | Jan 7, 2015 | M | 14,442 | D | — | Jul 8, 2019 | Ordinary Shares | 14,442 | 0 | D |
| Non-Qualified Stock Option (right to buy)F4 | $8.82 | Jan 7, 2015 | M | 741 | D | — | Aug 29, 2021 | Ordinary Shares | 741 | 5,926 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 28, 2013.
- F2Shares subject to the option vest monthly over four years beginning on August 1, 2008.
- F3Shares subject to the option vest monthly over four years beginning on August 1, 2009.
- F4Shares subject to the option vest monthly over four years beginning on August 1, 2011.