SEC Form 3: Platzer Peter claimed ownership of 8,428,672 units of Class A Common and claimed ownership of 8,428,672 units of Class B Common (Amendment)
$NSH
Business Services
Finance
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 08/16/2021 |
3. Issuer Name and Ticker or Trading Symbol
Spire Global, Inc. [ SPIR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 08/17/2021 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Class A Common | 8,285,428 | D | |
| Class B Common | 8,285,428 | D | |
| Class A Common | 143,244 | I | By: Spouse(1) |
| Class B Common | 143,244 | I | By: Spouse(1) |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Option (right to buy) | (2) | 08/16/2025 | Class A Common Stock | 1,405,297 | 0.88 | D | |
| Stock Option (right to buy) | (2) | 03/07/2027 | Class A Common Stock | 37,600 | 0.98 | D | |
| Stock Option (right to buy) | (3) | 03/20/2028 | Class A Common Stock | 1,363,424 | 1.85 | D | |
| Stock Option (right to buy) | (4) | 11/12/2029 | Class A Common Stock | 109,692 | 1.96 | D | |
| Stock Option (right to buy) | (5) | 11/10/2030 | Class A Common Stock | 175,507 | 2.18 | D | |
| Stock Option (right to buy) | (6) | 11/01/2030 | Class A Common Stock | 1,337,465 | 2.18 | D | |
| Stock Option (right to buy) | (2) | 02/18/2031 | Class A Common Stock | 292,512 | 3.3 | D | |
| Stock Option (right to buy) | (7) | 02/18/2031 | Class A Common Stock | 546,834 | 3.3 | D | |
| Stock Option (right to buy) | (2) | 06/28/2026 | Class A Common Stock | 146,256 | 0.88 | I | By: Spouse |
| Stock Option (right to buy) | (2) | 06/28/2026 | Class A Common Stock | 18,282 | 0.88 | I | By: Spouse |
| Stock Option (right to buy) | (2) | 11/14/2026 | Class A Common Stock | 6,565 | 0.98 | I | By: Spouse |
| Stock Option (right to buy) | (2) | 11/14/2026 | Class A Common Stock | 4,433 | 0.98 | I | By: Spouse |
| Stock Option (right to buy) | (2) | 03/07/2027 | Class A Common Stock | 15,804 | 0.98 | I | By: Spouse |
| Stock Option (right to buy) | (3) | 03/20/2028 | Class A Common Stock | 662,680 | 1.85 | I | By: Spouse |
| Stock Option (right to buy) | (8) | 11/12/2028 | Class A Common Stock | 9,488 | 1.85 | I | By: Spouse |
| Stock Option (right to buy) | (9) | 11/12/2029 | Class A Common Stock | 54,846 | 1.96 | I | By: Spouse |
| Stock Option (right to buy) | (5) | 11/10/2030 | Class A Common Stock | 82,269 | 2.18 | I | By: Spouse |
| Stock Option (right to buy) | (6) | 11/01/2030 | Class A Common Stock | 187,986 | 2.18 | I | By: Spouse |
| Stock Option (right to buy) | (7) | 02/18/2031 | Class A Common Stock | 127,160 | 3.3 | I | By: Spouse |
| Explanation of Responses: |
| 1. Mr. Platzer and Theresa Condor, as husband and wife, share beneficial ownership of the securities held by each other. |
| 2. This option is fully vested and exercisable. |
| 3. One fourth (1/4th) of the shares subject to the option vested on February 21, 2019 and one forty-eighth (1/48th) of the shares subject to the option vest monthly thereafter, subject to the Reporting Person's continued service through each such date. |
| 4. The shares subject to the option shall vest in twelve (12) equal monthly installments following September 1, 2022. |
| 5. The shares subject to the option shall vest in twelve (12) equal monthly installments following November 11, 2023. |
| 6. One fourth (1/4th) of the shares subject to the option vest on November 2, 2021 and one forty-eighth (1/48th) of the shares subject to the option vest monthly thereafter, subject to the Reporting Person's continued service through each such date. |
| 7. The shares subject to the option shall vest in twelve (12) equal monthly installments following January 1, 2021. |
| 8. The shares subject to the option shall vest in twelve (12) equal monthly installments following February 11, 2021. |
| 9. The shares subject to the option shall vest in twelve (12) equal monthly installments following February 11, 2022. |
| Remarks: |
| Exhibit 24 - Power of Attorney This Form 3 amendment is being filed to correct the original Form 3 filed on August 17, 2021. Pursuant to the terms of the Business Combination Agreement dated February 28, 2021 by and among the Issuer and the other parties thereto, the exercise prices for all of the options have been updated to effect the application of the final option exchange ratio of 1.8282. |
| /s/ Ananda Martin, by Power of Attorney for Peter Platzer | 08/19/2021 | |
| ** 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 5 (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. | ||