Amended Statement of Changes in Beneficial Ownership (4/a)
14 Abril 2022 - 6:43PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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1. Name and Address of Reporting Person
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FINN BRIAN D |
2. Issuer Name and Ticker or Trading Symbol
Sarcos Technology & Robotics Corp
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STRC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O SARCOS TECHNOLOGY AND ROBOTICS CORP, 650 SOUTH 500 WEST |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/9/2021 |
(Street)
SALT LAKE CITY, UT 84101
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
12/29/2021 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/9/2021 | | A | | 12315 (1) | A | $0.00 | 12315 | D | |
Common Stock | | | | | | | | 371473 | I | By Marstar Investments LLC (2) |
Common Stock | | | | | | | | 12500 | I | Gee Jay LLC (3) |
Common Stock | | | | | | | | 8942957 | I | By Rotor-Sarcos LLC (4) |
Common Stock | | | | | | | | 5672168 | I | By Rotor Sponsor LLC (5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Explanation of Responses: |
(1) | Represents restricted stock units ("RSUs"), each RSU representing the right to receive one share of common stock of Sarcos Technology and Robotics Corporation (the "Company"). The RSUs will vest on the earlier of (i) the first anniversary of the date the award is granted or (ii) the day prior to the date of the annual meeting of the Company's stockholders (the "Annual Meeting") next following the date the award was granted, in each case, subject to the Recipient continuing to be a Service Provider through the applicable vesting date. |
(2) | Represents shares held by Marstar Investments LLC ("Marstar"). Mr. Finn is the administrator of Marstar and has sole voting and dispositive power over the shares that will be directly held by Marstar. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein. |
(3) | Represents shares held by Gee Jay LLC ("Gee Jay"). Mr. Finn is the trustee of the sole member and manager of Gee Jay. Mr. Finn disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(4) | Represents shares held by Rotor-Sarcos LLC ("Rotor-Sarcos"). Mr. Finn has shared control of Rotor-Sarcos. As such, has shared voting and dispositive power over the shares owned by Rotor-Sarcos. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein. |
(5) | Represents securities held by Rotor Sponsor LLC ("Sponsor"). Mr. Finn has control of Sponsor. As such, has voting and dispositive power over the securities owned by Sponsor. Mr. Finn disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. |
Remarks: This Form 4/A is being filed to amend and restate the original Form 4 filed with the Securities and Exchange Commission on December 29, 2021 (the "Original Filing"), to include securities held by Sponsor, which were inadvertently omitted from the Original Filing. No new transaction is being reported herein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
FINN BRIAN D C/O SARCOS TECHNOLOGY AND ROBOTICS CORP 650 SOUTH 500 WEST SALT LAKE CITY, UT 84101 | X | X |
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Signatures
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BRIAN D. FINN
By: /s/ Brian D. Finn | | 4/14/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
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