0001104659-23-042141.txt : 20230405 0001104659-23-042141.hdr.sgml : 20230405 20230405160343 ACCESSION NUMBER: 0001104659-23-042141 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230320 FILED AS OF DATE: 20230405 DATE AS OF CHANGE: 20230405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Sullivan Anthony CENTRAL INDEX KEY: 0001874198 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39281 FILM NUMBER: 23802454 MAIL ADDRESS: STREET 1: 19 TENNYSON STREET CITY: BULIMBA, QUEENSLAND STATE: C3 ZIP: 4171 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TMC the metals Co Inc. CENTRAL INDEX KEY: 0001798562 STANDARD INDUSTRIAL CLASSIFICATION: METAL MINING [1000] IRS NUMBER: 000000000 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 595 HOWE STREET STREET 2: 10TH FLOOR CITY: VANCOUVER STATE: A1 ZIP: V6C 2T5 BUSINESS PHONE: (604) 631-3115 MAIL ADDRESS: STREET 1: 595 HOWE STREET STREET 2: 10TH FLOOR CITY: VANCOUVER STATE: A1 ZIP: V6C 2T5 FORMER COMPANY: FORMER CONFORMED NAME: Sustainable Opportunities Acquisition Corp. DATE OF NAME CHANGE: 20200102 4 1 tm2310911-3_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-03-20 0 0001798562 TMC the metals Co Inc. TMC 0001874198 O'Sullivan Anthony C/O TMC THE METALS COMPANY INC., 595 HOWE STREET, 10TH FLOOR VANCOUVER A1 V6C 2T5 BRITISH COLUMBIA, CANADA 0 1 0 0 Chief Development Officer 0 Common Shares 2023-03-20 4 A 0 243223 0.00 A 555723 D Common Shares 2023-03-20 4 A 0 200277 0.00 A 756000 D Common Shares 2023-03-28 4 S 0 97393 0.7188 D 658607 D Common Shares 2023-03-29 4 S 0 85170 0.7207 D 573437 D Common Shares 2023-03-30 4 S 0 60660 0.7836 D 512777 D Common Shares 575110 I JOZEM Pty Ltd., Trustee of the O'Sullivan Family Trust No. 1 Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one common share upon vesting. The RSUs were granted and vested upon issuance as part of the Issuer's short-term incentive plan. The RSUs were granted as part of the Issuer's long-term incentive plan and vest over a three year period as follows, subject to continued service through each vesting date: 1/3 on the first anniversary of March 20, 2023 (the "Grant Date"), 1/3 on the second anniversary of the Grant Date and 1/3 on the third anniversary of the Grant Date. The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $0.70 to $0.7801 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price. The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $0.7050 to $0.7461 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price. The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $0.75 to $0.80 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price. The Reporting Person is the sole director of JOZEM Pty Ltd., which is the trustee of The O'Sullivan Family Trust No. 1. /s/ Jeffrey Cohan, Attorney-in-Fact 2023-04-05