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AMBARELLA INC — Director's Dealing 2020
Jun 12, 2020
31250_dirs_2020-06-12_e7bc1ff4-aaea-4c3c-a173-b5a66268cba0.zip
Director's Dealing
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SEC Form 3/A — Form 3/A
Issuer: AMBARELLA INC (AMBA)
CIK: 0001280263
Period of Report: 2020-03-24-04:00
Reporting Person: GOLDMAN SACHS GROUP INC (N/A)
Reporting Person: GOLDMAN SACHS & CO. LLC (N/A)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Equity Swap | $ | Common Shares (731) | Indirect | ||
| Equity Swap | $ | Common Shares (479) | Indirect | ||
| Equity Swap | $ | Common Shares (562) | Indirect | ||
| Equity Swap | $ | Common Shares (440) | Indirect | ||
| Equity Swap | $ | Common Shares (589) | Indirect | ||
| Equity Swap | $ | Common Shares (326) | Indirect | ||
| Equity Swap | $ | Common Shares (17941) | Indirect | ||
| Equity Swap | $ | Common Shares (2445) | Indirect | ||
| Equity Swap | $ | Common Shares (25) | Indirect | ||
| Equity Swap | $ | Common Shares (312) | Indirect | ||
| Equity Swap | $ | Common Shares (900) | Indirect | ||
| Equity Swap | $ | Common Shares (42) | Indirect | ||
| Equity Swap | $ | Common Shares (661) | Indirect | ||
| Equity Swap | $ | Common Shares (112) | Indirect | ||
| Equity Swap | $ | Common Shares (3304) | Indirect | ||
| Equity Swap | $ | Common Shares (1054) | Indirect | ||
| Equity Swap | $ | Common Shares (15) | Indirect | ||
| Equity Swap | $ | Common Shares (440) | Indirect |
Footnotes
F1: 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.
F2: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 4/30/2020, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $155.15 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $155.15 per share, in each case, based on a notional amount of 731 Common Shares.
F3: These equity swaps were omitted from the Reporting Persons' original Form 3.
F4: GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership.
F5: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 9/10/2020, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $144.31 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $144.31 per share, in each case, based on a notional amount of 479 Common Shares.
F6: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 1/4/2021, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $162.10 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $162.10 per share, in each case, based on a notional amount of 562 Common Shares.
F7: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 1/22/2021, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $165.56 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $165.56 per share, in each case, based on a notional amount of 440 Common Shares.
F8: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 1/29/2021, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $162.58 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $162.58 per share, in each case, based on a notional amount of 589 Common Shares.
F9: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 2/4/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $150.24 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $150.24 per share, in each case, based on a notional amount of 326 Common Shares.
F10: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 4/7/2020, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $62.31 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $62.31 per share, in each case, based on a notional amount of 17,941 Common Shares.
F11: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $51.00 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $51.00 per share, in each case, based on a notional amount of 2,445 Common Shares.
F12: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 3/5/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $50.77 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $50.77 per share, in each case, based on a notional amount of 25 Common Shares.
F13: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $44.65 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $44.65 per share, in each case, based on a notional amount of 312 Common Shares.
F14: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 3/20/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $40.91 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $40.91 per share, in each case, based on a notional amount of 900 Common Shares.
F15: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 11/28/2022, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $55.21 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $55.21 per share, in each case, based on a notional amount of 42 Common Shares.
F16: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 3/17/2021, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $77.13 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $77.13 per share, in each case, based on a notional amount of 661 Common Shares.
F17: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 12/2/2022, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $52.63 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $52.63 per share, in each case, based on a notional amount of 112 Common Shares.
F18: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 3/17/2021, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $77.13 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $77.13 per share, in each case, based on a notional amount of 3,304 Common Shares.
F19: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 3/18/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $39.58 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $39.58 per share, in each case, based on a notional amount of 1,054 Common Shares.
F20: Goldman Sachs is a party to 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 $45.93 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $45.93 per share, in each case, based on a notional amount of 15 Common Shares.
F21: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 3/17/2021, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $77.13 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $77.13 per share, in each case, based on a notional amount of 440 Common Shares.