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Peraso Inc. — Director's Dealing 2022
Feb 25, 2022
35320_dirs_2022-02-25_fb79125a-75b4-4ee7-8718-94b9ab46206e.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: Peraso Inc. (PRSO)
CIK: 0000890394
Period of Report: 2021-12-17
Reporting Person: Tomkins Alex (Chief Technology Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-12-17 | Common Stock | A | 9127 | — | Acquired | 16477 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-12-17 | Stock Option (right to buy) | $1.73 | A | 13571 | Acquired | 2014-11-17 | Common Stock (13571) | Direct |
| 2021-12-17 | Stock Option (right to buy) | $2.59 | A | 13571 | Acquired | 2027-06-09 | Common Stock (13571) | Direct |
| 2021-12-17 | Stock Option (right to buy) | $2.59 | A | 166656 | Acquired | 2030-09-17 | Common Stock (166656) | Direct |
| 2021-12-17 | Stock Option (right to buy) | $2.59 | A | 65759 | Acquired | 2031-12-16 | Common Stock (65759) | Direct |
Footnotes
F1: The reporting person acquired these securities on December 17, 2021, as consideration for the reporting person's securities of Peraso Technologies Inc., which Peraso Inc. (formerly known as MoSys, Inc.) acquired by way of reverse takeover pursuant to the Arrangement Agreement (together with the entirety of ancillary documents thereto - the "Agreement") dated as of September 14, 2021.
F2: The Agreement additionally provides that following the first anniversary of the Effective Time (as defined in the Agreement) the reporting person may receive from escrow up to 1,289 shares of Common Stock, subject to certain terms and conditions, including a requirement as to the volume weighted average price of the Common Stock of Peraso Inc. Such shares are included herein.
F3: This amendment is being filed to correct an inadvertent exclusion of 7,350 shares of common stock of Peraso Inc. that were owned by the reporting person prior to the applicable transaction date.
F4: 100% of the Options were fully vested on November 17, 2018.
F5: 100% of the Options were fully vested on September 17, 2021.
F6: 25% of the Options vest on first anniversary of date of grant, September 17, 2020; and 6.25% of the Options vest on the first day of each calendar quarter following September 17, 2021.