SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
TKB Sponsor I, LLC

(Last) (First) (Middle)
400 CONTINENTAL BLVD, SUITE 600

(Street)
EL SEGUNDO CA 90245

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
TKB Critical Technologies 1 [ USCT ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
See Remarks
3. Date of Earliest Transaction (Month/Day/Year)
06/28/2023
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Rule 10b5-1(c) Transaction Indication

  
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Ordinary Shares 06/28/2023 J(1) 4,212,500 D (1) 1,437,500 D(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
TKB Sponsor I, LLC

(Last) (First) (Middle)
400 CONTINENTAL BLVD, SUITE 600

(Street)
EL SEGUNDO CA 90245

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
X Director X 10% Owner
X Officer (give title below) Other (specify below)
See Remarks
1. Name and Address of Reporting Person*
Tartavull Philippe

(Last) (First) (Middle)
C/O TKB SPONSOR I, LLC
400 CONTINENTAL BLVD, SUITE 600

(Street)
EL SEGUNDO CA 90245

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
X Director X 10% Owner
X Officer (give title below) Other (specify below)
Executive Chairman
1. Name and Address of Reporting Person*
Klein Greg M

(Last) (First) (Middle)
C/O TKB SPONSOR I, LLC
400 CONTINENTAL BLVD, SUITE 600

(Street)
EL SEGUNDO CA 90245

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
X Director X 10% Owner
X Officer (give title below) Other (specify below)
Co-Chief Executive Officer
1. Name and Address of Reporting Person*
Blatteis Angela

(Last) (First) (Middle)
C/O TKB SPONSOR I, LLC
400 CONTINENTAL BLVD, SUITE 600

(Street)
EL SEGUNDO CA 90245

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
X Director X 10% Owner
X Officer (give title below) Other (specify below)
Co-CEO and CFO
Explanation of Responses:
1. On June 25, 2023, the TKB Sponsor I LLC ("Sponsor") entered into a Securities Transfer Agreement with certain third party buyers named therein ("Buyers"), the Issuer, and each other independent director of the Issuer, pursuant to which on June 28, 2023, the Sponsor sold the shares reported herein to Buyers for an aggregate purchase price, together with the purchase price for shares sold to Buyers by each independent director of the Issuer, of $1.00.
2. The Sponsor is the record holder of the shares reported herein. Each of Angela Blatteis, Greg Klein and Philippe Tartavull own interests in the Sponsor and are managers of the Sponsor, and may be deemed to share beneficial ownership of such shares. Each of Ms. Blatteis, Mr. Klein and Mr. Tartavull disclaims beneficial ownership of such shares except to the extent of his or her pecuniary interest therein.
Remarks:
In connection with consummation of the transactions contemplated by the Securities Transfer Agreement, on June 25, 2023, Philippe Tartavull resigned from his role as Executive Chairman of the Issuer, Greg Klein resigned from his role as Co-Chief Executive Officer and as a director of the Issuer, and Angela Blatteis resigned from her role as co-Chief Executive Officer and Chief Financial Officer and as a director of the Issuer. See Exhibit 99.1 - Joint Filer Information, which is incorporated herein by reference and describes in further detail the relationships of the Reporting Persons to the Issuer.
TKB Sponsor I, LLC By: /s/ Angela Blatteis, Manager 06/30/2023
/s/ Philippe Tartavull 06/30/2023
/s/ Greg Klein 06/30/2023
/s/ Angela Blatteis 06/30/2023
** 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 4 (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).
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