0001628280-24-029414.txt : 20240621 0001628280-24-029414.hdr.sgml : 20240621 20240621204515 ACCESSION NUMBER: 0001628280-24-029414 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240619 FILED AS OF DATE: 20240621 DATE AS OF CHANGE: 20240621 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aoki Ichiro CENTRAL INDEX KEY: 0001865423 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40481 FILM NUMBER: 241061798 MAIL ADDRESS: STREET 1: C/O INDIE SEMICONDUCTOR STREET 2: 32 JOURNEY CITY: ALISO VIEJO STATE: CA ZIP: 92656 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: indie Semiconductor, Inc. CENTRAL INDEX KEY: 0001841925 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] ORGANIZATION NAME: 04 Manufacturing IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 32 JOURNEY CITY: ALISO VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 2024310507 MAIL ADDRESS: STREET 1: 32 JOURNEY CITY: ALISO VIEJO STATE: CA ZIP: 92656 FORMER COMPANY: FORMER CONFORMED NAME: Thunder Bridge II Surviving Pubco, Inc. DATE OF NAME CHANGE: 20210122 4 1 wk-form4_1719017108.xml FORM 4 X0508 4 2024-06-19 0 0001841925 indie Semiconductor, Inc. INDI 0001865423 Aoki Ichiro 32 JOURNEY ALISO VIEJO CA 92656 1 1 0 0 President 1 Class V Common Stock 2024-06-20 4 M 0 75000 0 D 5064362 D Class A Common Stock 2024-06-20 4 M 0 75000 0 A 111631 D Class A Common Stock 2024-06-20 4 S 0 75000 6.26 D 36631 D Class V Common Stock 2024-06-21 4 M 0 75000 0 D 4989362 D Class A Common Stock 2024-06-21 4 M 0 75000 0 A 111631 D Class A Common Stock 2024-06-21 4 S 0 75000 6.24 D 36631 D Restricted Stock Units 2024-06-19 4 A 0 17500 0 A Class A Common Stock 17500 17500 D ADK Class A Units 0 2024-06-20 4 M 0 75000 0 D 2021-12-10 Class A Common Stock 75000 5064362 D ADK Class A Units 0 2024-06-21 4 M 0 75000 0 D 2021-12-10 Class A Common Stock 75000 4989362 D Cancellation of Class V Common Stock upon Reporting Person's exchange of ADK Class A Units for an equal number of shares of Class A Common Stock. See note 2. Class A Common Stock received upon conversion of ADK Class A Units. The ADK Class A Units may be exchanged by the Reporting Person at any time after December 10, 2021 for an equal number of shares of Class A Common Stock or, at the election of the Issuer, cash equal to the fair market value of such shares. Upon the Reporting Person's exchange of an ADK Class A Unit for Class A Common Stock, an equivalent number of shares of Class V Common Stock will be cancelled. The sales made in this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 14, 2024. The Reporting Person's Rule 10b5-1 plan includes automated sales of the Issuer's Class A common stock on predetermined prices and dates through March 15, 2026. The price reported in Column 4 is a weighted average price. The shares reported in this Form 4 were sold in separate transactions at prices ranging from $6.14 to $6.42, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the price range set forth in this footnote. The price reported in Column 4 is a weighted average price. The shares reported in this Form 4 were sold in separate transactions at prices ranging from $6.10 to $6.38, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the price range set forth in this footnote. Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock. The time-based restricted stock units shall vest and become nonforfeitable with respect to fifty percent (50%) of the total number of restricted stock units on March 1, 2025 and 2026. N/A /s/ Ichiro Aoki by Naixi Wu pursuant to power of attorney filed on June 21, 2021 2024-06-21