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 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 06/10/2021 |
3. Issuer Name and Ticker or Trading Symbol
indie Semiconductor, Inc. [ INDI ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
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) |
Class A Common Stock, par value $0.0001 | 1,000,000(1)(2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
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 |
Explanation of Responses: |
1. Pursuant to the Master Transactions Agreement by and among Thunder Bridge II Surviving Pubco, Inc., Thunder Bridge Acquisition II, Ltd. ("TB2"), Ay Dee Kay, LLC, d/b/a indie Semiconductor and certain other parties (dated as of December 14, 2020 and amended that same date) (the "Agreement"), 1,000,000 shares of TB2 owned by the Reporting Person were converted into 1,000,000 shares of the Issuer upon the closing of the transactions contemplated by the Agreement does not include the Reporting Persons interest in additional shares of Class A common stock of the Issuer held by Thunder Bridge Acquisition II, LLC (the ("Sponsor"). The Reporting Person has an indirect pecuniary interest in certain of these shares (currently estimated to be 1,000,000 shares) through his membership interest in Thunder Bridge Founders II, LLC ("Founders II") (which, in turn, has a membership interest in the Sponsor). |
2. (Continuing from (1)) The Reporting Person currently has no voting or dispositive control of such shares. The Reporting Person interest is expected to become a direct interest upon the ultimate distribution of those shares from Sponsor to Founders II and, subsequently, from Founders II to its members, including the Reporting Person. |
Remarks: |
/s/ Ellen Bancroft, Attorney-In-Fact | 06/21/2021 | |
** 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. |