Caroline Brown - 11 Aug 2021 Form 3 Insider Report for Rockley Photonics Holdings Ltd (RKLY)

Role
Director
Signature
/s/ Tom Adams, Attorney-in-fact for Caroline Brown
Issuer symbol
RKLY
Transactions as of
11 Aug 2021
Net transactions value
$0
Form type
3
Filing time
11 Aug 2021, 19:03:03 UTC
Next filing
20 Oct 2021
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding RKLY Stock Option (right to buy) 11 Aug 2021 Class A ordinary shares 15,521 $3.74 Direct F1
holding RKLY Stock Option (right to buy) 11 Aug 2021 Class A ordinary shares 15,521 $3.11 Direct F2
holding RKLY Stock Option (right to buy) 11 Aug 2021 Class A ordinary shares 31,043 $3.74 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 25% of the shares subject to the options vested and became exercisable on June 30, 2020, and the remaining shares will vest monthly thereafter, subject to the Reporting Person's continued service at each vesting date.
F2 25% of the shares subject to the options vested and became exercisable on July 20, 2021, and the remaining shares will vest monthly thereafter, subject to the Reporting Person's continued service at each vesting date.
F3 25% of the shares subject to the options vested and became exercisable on January 1, 2020, and the remaining shares will vest monthly thereafter, subject to the Reporting Person's continued service at each vesting date.

Remarks:

Exhibit 24 - Power of Attorney