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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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) | 03/16/2016 | M | 695 | (3) | 08/27/2022(3) | Ordinary Shares | 695 | $ 0 | 1,389 | D | ||||
Restricted Stock Units | (1) | 03/16/2016 | M | 2,250 | (4) | 08/26/2023(4) | Ordinary Shares | 2,250 | $ 0 | 0 | D | ||||
Restricted Stock Units | (1) | 03/16/2016 | M | 2,625 | (5) | 08/27/2023(5) | Ordinary Shares | 2,625 | $ 0 | 15,750 | D | ||||
Restricted Stock Units | (1) | 03/16/2016 | M | 2,844 | (6) | 09/07/2024(6) | Ordinary Shares | 2,844 | $ 0 | 28,438 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Laplante George 3101 JAY STREET SANTA CLARA, CA 95054 |
CFO |
By: /s/ Michael Morehead, Attorney in Fact For: George Laplante | 03/18/2016 | |
**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 represents a contingent right to receive one share of Ambarella, Inc. Ordinary Shares. |
(2) | Shares sold to pay tax obligations resulting from the vesting of restricted stock award and restricted stock units. |
(3) | The restricted stock units vest at the rate of 1/16 per quarter beginning on September 15, 2012. |
(4) | The RSUs vested as to 1/8 of the RSUs on June 15, 2014 and 1/8 of the RSU's will vest each three months thereafter such that the RSUs are 100% vested on March 15, 2016. |
(5) | The restricted stock units vest at the rate of 1/16 per quarter beginning on September 15, 2013. |
(6) | The restricted stock units vest at the rate of 1/16 per quarter beginning on September 15, 2014. |