SEC Form 4 · accession 0001280263-18-000128
AMBARELLA INC · AMBA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yun-Lung Chen
Officer — VP, Business Development
Period of report
Dec 18, 2018
Accepted (ET)
Dec 20, 2018 · 5:36 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 SharesF1 | Dec 18, 2018 | M | 3,443 | — | A | 25,474 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Dec 18, 2018 | M | 929 | D | — | Sep 15, 2019 | Ordinary Shares | 929 | 2,789 | D |
| Restricted Stock UnitsF1,F3 | — | Dec 18, 2018 | M | 1,278 | D | — | Jun 15, 2021 | Ordinary Shares | 1,278 | 12,784 | D |
| Restricted Stock UnitsF1,F4 | — | Dec 18, 2018 | M | 353 | D | — | Oct 7, 2025 | Ordinary Shares | 353 | 1,060 | D |
| Restricted Stock UnitsF1,F5 | — | Dec 18, 2018 | M | 883 | D | — | Mar 6, 2026 | Ordinary Shares | 883 | 2,648 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Ambarella, Inc. Ordinary Shares.
- F2The RSUs vest as to 1/10 of the RSUs on June 15, 2017 and 1/10 of the RSUs will vest each three months thereafter such that the RSUs are 100% vested on September 15, 2019.
- F3The restricted stock units vest at the rate of 1/12 per quarter commencing on June 15, 2018.
- F4The restricted stock units vest at the rate of 1/16 per quarter commencing on September 15, 2015.
- F5The restricted stock units vest at the rate of 1/14 per quarter commencing on March 15, 2016.