Statement of Changes in Beneficial Ownership (4)
August 12 2021 - 5:32PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Allison Eric |
2. Issuer Name and Ticker or Trading Symbol
Joby Aviation, Inc.
[
JOBY
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Head of Product |
|
(Last)
(First)
(Middle)
C/O JOBY AVIATION, INC., 2155 DELAWARE AVENUE, SUITE #225 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/10/2021 |
|
(Street)
SANTA CRUZ, CA 95060
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| RSU | $0.00 | 8/10/2021 | | A | | 1285070 (1) | | (2) | 1/19/2027 | Common Stock | 1285070 (1) | $0.00 (1) | 1285070 | D | |
| Explanation of Responses: |
| (1) | On August 10, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of February 23, 2021, by and among the Issuer, RTP Merger Sub Inc. ("Merger Sub") and Joby Aero, Inc. ("Joby"), Merger Sub merged with and into Joby with Joby surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger, each outstanding Joby restricted stock unit award (each, a "Joby RSU Award") was automatically converted into a restricted stock unit award covering a number of shares of common stock of the Issuer equal to (i) the number of shares of Joby common stock subject to the applicable Joby RSU Award, multiplied by (ii) 3.4572, rounded down to the nearest whole share. |
| (2) | Represents an award of restricted stock units ("RSUs") that vests with respect to 16.66% of the RSUs on January 12, 2022 and as to the remaining 83.34% in 20 quarterly installments thereafter, subject to the reporting person's continued service through the applicable vesting date. Each RSU represents the contingent right to receive one share of Common Stock upon vesting. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Allison Eric
C/O JOBY AVIATION, INC.
2155 DELAWARE AVENUE, SUITE #225
SANTA CRUZ, CA 95060 |
|
| Head of Product |
|
Signatures
|
| /s/ Kate DeHoff, Attorney-in-Fact for Eric Allison | | 8/12/2021 |
| **Signature of Reporting Person | Date |
Joby Aviation (NYSE:JOBY)
Historical Stock Chart
From Mar 2024 to Apr 2024
Joby Aviation (NYSE:JOBY)
Historical Stock Chart
From Apr 2023 to Apr 2024
