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ChargePoint Holdings, Inc. — Director's Dealing 2021
Jul 10, 2021
33472_dirs_2021-07-09_c5fa4bc2-b222-46bb-a6d3-87d8a9aa811b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ChargePoint Holdings, Inc. (CHPT)
CIK: 0001777393
Period of Report: 2021-06-15
Reporting Person: Suslak Neil S (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-06-15 | Common Stock | X | 22337 | $1.25 | Acquired | 3053849 | Indirect |
| 2021-06-15 | Common Stock | S | 1129 | $24.77 | Disposed | 3052720 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-06-15 | Warrant (right to buy) | $1.25 | X | 22337 | Disposed | 2021-06-20 | Common Stock (22337) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1830332 | Indirect |
| Common Stock | 351151 | Indirect |
| Common Stock | 2702655 | Indirect |
| Common Stock | 11593882 | Indirect |
| Common Stock | 886130 | Indirect |
Footnotes
F1: The Reporting Person exercised a warrant to purchase 22,337 shares of the Issuer's Common Stock for $1.25 per share and paid the exercise price on a cashless basis, resulting in the Issuer withholding 1,129 shares of the Issuer's shares of common stock subject to the warrant to pay the exercise price.
F2: The Shares are held directly by ChargePoint Investments LLC. (together with the entities listed in footnotes (3)-(7), the "Braemar Funds").
F3: The Shares are held directly by Braemar ChargePoint Investments III, LLC.
F4: The Shares are held directly by Braemar CP Investments 2019 LLC.
F5: The Shares are held directly by Braemar CP Investments II 2020, LLC.
F6: The Shares are held directly by Braemar Energy Ventures III, L.P.
F7: The Shares are held directly by ChargePoint Investments II, LLC.
F8: Mr. Suslak is the Managing Partner of Braemar Energy Ventures, which is the General Partner of each of the Braemar Funds. Mr. Suslak shares voting and investment power over the shares held by each of the Braemar Funds with William D. Lese and Donald F. Tappan, III. Each of Messrs. Suslak, Lese and Tappan disclaim beneficial ownership of the securities held by the Braemar Funds.