CFO and Treasurer Kelly William John disposed of 1,083 shares and sold $1,078 worth of shares (186 units at $5.80), decreasing direct ownership by 9% to 12,624 units (SEC Form 4)
$RBOT
Industrial Specialties
Health Care
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Vicarious Surgical Inc. [ RBOT ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/01/2024 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Class A Common Stock | 07/01/2024 | J(1) | 1,083 | D | $0 | 12,810 | D | |||
| Class A Common Stock | 09/03/2024 | S(2) | 186 | D | $5.7962(3) | 12,624 | D | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (right to buy) | $53.9383 | 07/01/2024 | J(1) | 17,072 | (4) | 02/24/2031 | Common Stock | 34,143(5) | $0.00 | 17,071 | D | ||||
| Stock Option (right to buy) | $373.5 | 07/01/2024 | J(1) | 1,737 | (6) | 11/22/2031 | Common Stock | 3,472(5) | $0.00 | 1,735 | D | ||||
| Explanation of Responses: |
| 1. The reported transactions involve the reporting person's transfer of shares and stock options to his ex-spouse pursuant to a divorce decree. The shares and stock options owned by the ex-spouse are not beneficially owned by the reporting person. |
| 2. The sales reported in this Form 4 were effected to cover tax withholding obligations in connection with the vesting of restricted stock units that were granted on June 2, 2021. |
| 3. This figure is the weighted average sales price of multiple trades ranging from $5.56 to $6.27 per share. The Reporting Person undertakes to provide the staff of the Securities Exchange Commission, Vicarious Surgical Inc. or any security holder of Vicarious Surgical Inc. full information about the number of shares sold at each separate price upon request. |
| 4. The shares underlying this option vest subject to the reporting person's continued service as follows :8,538 vested on January 29, 2022, with the remainder vesting in equal monthly installments over the following 36-month period. |
| 5. On June 12, 2024, the Issuer effected a 1-for-30 reverse stock split (the "Reverse Stock Split") on its Common Stock. The figures reported have been adjusted to reflect the Reverse Stock Split. |
| 6. The shares underling this option vest subject to the reporting person's continued service as follows: 218 vested on December 20, 2021, with the remainder vesting in equal monthly installments over the following 36-month period. |
| /s/ Erin Checka, Attorney-in-Fact | 09/05/2024 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||