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John Lawrence Hopkins

Filed: 12 May 22, 3:51pm
SEC Form 3
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*
Hopkins John Lawrence

(Last) (First) (Middle)
6650 SW REDWOOD LANE, SUITE 210

(Street)
PORTLAND OR 97224

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/02/2022
3. Issuer Name and Ticker or Trading Symbol
NUSCALE POWER Corp [ SMR ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Employee Stock Option (right to buy) (1) 02/14/2028 Class A Common Stock 1,329,136 3.24 D
Employee Stock Option (right to buy) (2) 03/31/2031 Class A Common Stock 259,800 6.41 D
Employee Stock Option (right to buy) (3) 10/31/2031 Class A Common Stock 1,732(4) 6.41 I By immediate family member
Employee Stock Option (right to buy) (5) 12/25/2030 Class A Common Stock 2,598(4) 3.24 I By daughter A
Employee Stock Option (right to buy) (5) 12/25/2030 Class A Common Stock 2,598(4) 3.24 I By daughter B
Explanation of Responses:
1. The option became exercisable for 25% of the shares on March 1, 2018, and for 1/48th of the shares at the end of each one-month period thereafter, so that the option became fully exercisable on March 1, 2022.
2. The option became exercisable for 25% of the shares on April 1, 2021, and for 1/48th of the shares at the end of each one-month period thereafter, so that the option will become fully exercisable on April 1, 2024.
3. The option will become exercisable for 25% of the shares on November 1, 2022, and for 1/48th of the shares at the end of each one-month period thereafter, so that the option will become fully exercisable on November 1, 2025.
4. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
5. The option became exercisable for 25% of the shares on January 1, 2022, and for 1/48th of the shares at the end of each one-month period thereafter, so that the option will become fully exercisable on January 1, 2024.
Remarks:
Patrick C. Cannon, attorney-in-fact for John L. Hopkins 05/12/2022
** 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.