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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/02/2023 |
3. Issuer Name and Ticker or Trading Symbol
SkyWater Technology, Inc [ SKYT ] |
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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) |
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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) |
Common Stock | 15,118(1) | D |
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 | ||||
Options to Acquire Common Stock | (2) | 12/08/2031 | Common Stock | 4,644 | 18.64 | D | |
Options to Acquire Common Stock | (3) | 02/25/2032 | Common Stock | 9,869 | 11.24 | D |
Explanation of Responses: |
1. Includes 14,637 Restricted Stock Units (RSUs) that are unvested. Contingent on the reporting person's continuation in service on each applicable vesting date, 711 RSUs will vest on 12/8/2023, 711 RSUs will vest on 12/8/2024, 1,571 RSUs will vest on 2/25/2023, 1,572 RSUs will vest on 2/25/2024, 1,572 RSUs will vest on 2/25/2025, 2,833 RSUs will vest on 12/7/2023, 2,833 RSUs will vest on 12/7/2024, and 2,834 RSUs will vest on 12/7/2025. |
2. Contingent on the reporting person's continuation in service on each applicable vesting date, 1,161 options will vest on 12/8/2023, 1,161 options will vest on 12/8/2024, and 1,161 options will vest on 12/8/2025. |
3. Contingent on the reporting person's continuation in service on each applicable vesting date, 2,467 options will vest on 2/25/2023, 2,467 options will vest on 2/25/2024, 2,467 options will vest on 2/25/2025, and 2,468 options will vest on 2/25/2026. |
Remarks: |
Exhibit 24 - Power of Attorney |
/s/ Steve Manko, Attorney-in-Fact | 02/10/2023 | |
** 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. |