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AMBARELLA INC — Director's Dealing 2020
Jun 12, 2020
31250_dirs_2020-06-12_f4e61f10-c709-4c2c-a4d2-b5b4f1af4e13.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: AMBARELLA INC (AMBA)
CIK: 0001280263
Period of Report: 2020-03-25-04:00
Reporting Person: GOLDMAN SACHS GROUP INC (N/A)
Reporting Person: GOLDMAN SACHS & CO. LLC (N/A)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-03-25-04:00 | Equity Swap | $ | S | 66 | Disposed | 2023-02-23-05:00 | Common Shares (66) | Indirect |
| 2020-03-25-04:00 | Equity Swap | $ | S | 430 | Disposed | 2023-02-23-05:00 | Common Shares (430) | Indirect |
| 2020-03-25-04:00 | Equity Swap | $ | S | 37 | Disposed | 2030-03-25-04:00 | Common Shares (37) | Indirect |
| 2020-03-26-04:00 | Equity Swap | $ | S | 900 | Disposed | 2030-03-20-04:00 | Common Shares (900) | Indirect |
Footnotes
F1: The amount of profit recoverable by the Issuer from the reported transactions will be remitted to the Issuer.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On March 27, 2020, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Shares.
F3: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $46.98 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $46.98 per share, in each case, based on a notional amount of 66 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F4: These equity swaps were omitted from the Reporting Persons' original Form 4 filed.
F5: GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership.
F6: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $46.97 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $46.97 per share, in each case, based on a notional amount of 430 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F7: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 3/25/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $44.80 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $44.80 per share, in each case, based on a notional amount of 37 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F8: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 3/20/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $49.38 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $49.38 per share, in each case, based on a notional amount of 900 Common Shares and any additional costs and charges including any payments with respect to financial dividends.