0001213900-21-065898.txt : 20211217 0001213900-21-065898.hdr.sgml : 20211217 20211217121719 ACCESSION NUMBER: 0001213900-21-065898 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210929 FILED AS OF DATE: 20211217 DATE AS OF CHANGE: 20211217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Krutz Joel CENTRAL INDEX KEY: 0001866699 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39924 FILM NUMBER: 211500430 MAIL ADDRESS: STREET 1: 11601 WILSHIRE BLVD. STREET 2: SUITE 2240 CITY: LOS ANGELES STATE: CA ZIP: 90025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Crown Electrokinetics Corp. CENTRAL INDEX KEY: 0001761696 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 475423944 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1110 NE CIRCLE BLVD CITY: CORVALLIS STATE: OR ZIP: 97330 BUSINESS PHONE: 800-674-3612 MAIL ADDRESS: STREET 1: 1110 NE CIRCLE BLVD CITY: CORVALLIS STATE: OR ZIP: 97330 4 1 ownership.xml OWNERSHIP DOCUMENT X0306 4 2021-09-29 0 0001761696 Crown Electrokinetics Corp. CRKN 0001866699 Krutz Joel C/O CROWN ELECTROKINETICS CORP. 11601 WILSHIRE BLVD., SUITE 2240 LOS ANGELES CA 90025 0 1 0 0 Chief Financial Officer Restricted Stock Unit 2021-09-29 4 A 0 400000 A Common Stock 400000 400000 D Granted pursuant to the Issuer's 2020 Employee Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. 66,667 of the restricted stock unit vested on September 29, 2021. Subject to the Reporting Person remaining in continuous service with the Issuer through each applicable vesting date, 11,111 of the restricted stock units will vest monthly for a period of 29 months beginning October 21, 2021, with the remaining 11,114 restricted stock units vesting on March 21, 2024. In the event of a change in control of the Issuer, all then-unvested restricted stock units will vest as of the date of such change in control; if the Reporting Person terminates service with the Issuer as a result of his death, disability or a termination by the Issuer without cause, 100% of the unvested restricted stock units will vest as of the date of such termination. Share of unrestricted stock of the Issuer will be issued with respect to vested restricted stock units on the earliest to occur of (1) June 21, 2024; (2) the Reporting Person's separation from service; (3) a change in control; or (4) the Reporting Person's death. Not applicable. /s/ Joel Krutz 2021-12-17