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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Xometry, Inc. [ XMTR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/02/2021 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | ||||||
Common Stock | 07/02/2021 | J(1) | 2,147,916 | D | (1) | 0 | D | |||
Class A Common Stock | 07/02/2021 | J(1) | 2,147,916 | A | (1) | 2,147,916 | D | |||
Class A Common Stock | 07/02/2021 | J(2) | 1,200,843 | D | (2) | 947,073 | D | |||
Common Stock | 07/02/2021 | J(1) | 300,000 | D | (1) | 0 | I | Held by the Jason Eric Zuriff Trust | ||
Class A Common Stock | 07/02/2021 | J(1) | 300,000 | A | (1) | 300,000 | I | Held by the Jason Eric Zuriff Trust | ||
Common Stock | 07/02/2021 | J(1) | 300,000 | D | (1) | 0 | I | Held by the Sophie Anna Zuriff 2020 Trust | ||
Class A Common Stock | 07/02/2021 | J(1) | 300,000 | A | (1) | 300,000 | I | Held by the Sophie Anna Zuriff 2020 Trust | ||
Common Stock | 07/02/2021 | J(1) | 300,000 | D | (1) | 0 | I | Held by the Zuriff Family 2020 Trust | ||
Class A Common Stock | 07/02/2021 | J(1) | 300,000 | A | (1) | 300,000 | I | Held by the Zuriff Family 2020 Trust | ||
Class A Common Stock | 07/02/2021 | C | 201,176 | A | (3) | 201,176 | I | Held by ZFI Capital,LP. |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | ||||||||
Stock Option (right to buy) | $1.65 | 07/02/2021 | J(1) | 14,584 | (4) | 01/29/2028 | Common Stock(1) | 14,584 | $0.00 | 0 | D | ||||
Stock Option (right to buy) | $1.65 | 07/02/2021 | J(1) | 14,584 | (4) | 01/29/2028 | Class A Common Stock | 14,584 | $0.00 | 14,584 | D | ||||
Stock Option (right to buy) | $3.65 | 07/02/2021 | J(1) | 129,360 | (5) | 08/07/2029 | Common Stock(1) | 129,360 | $0.00 | 0 | D | ||||
Stock Option (right to buy) | $3.65 | 07/02/2021 | J(1) | 129,360 | (5) | 08/07/2029 | Class A Common Stock | 129,360 | $0.00 | 129,360 | D | ||||
Series Seed-1 Preferred Stock | (3) | 07/02/2021 | C | 128,102 | (3) | (3) | Class A Common Stock | 128,102 | $0.00 | 0 | I | Held by ZFI Capital,LP. | |||
Series Seed-2 Preferred Stock | (3) | 07/02/2021 | C | 43,796 | (3) | (3) | Class A Common Stock | 43,796 | $0.00 | 0 | I | Held by ZFI Capital,LP. | |||
Series A-1 Preferred Stock | (3) | 07/02/2021 | C | 29,278 | (3) | (3) | Class A Common Stock | 29,278 | $0.00 | 0 | I | Held by ZFI Capital,LP. | |||
Class B Common Stock | (6) | 07/02/2021 | J(2) | 1,200,843 | (6) | (6) | Class A Common Stock | 1,200,843 | $0.00 | 1,200,843 | D |
Explanation of Responses: |
1. Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class A Common Stock in an exempt transaction pursuant to Rule 16b-7. |
2. Immediately prior to the completion of the Issuer's initial public offering of Class A Common stock, the shares of the Issuer's Class A Common Stock held by the Reporting Person were exchanged at a 1:1 ratio for shares of the Issuer's Class B Common Stock pursuant to an exchange agreement between the Issuer and Reporting Person, as previously approved by the Issuer's board of directors. |
3. Each share of Series Seed-1 Preferred Stock, Series Seed-2 Preferred Stock, and Series A-1 Preferred Stock automatically converted, without payment of additional consideration, into Class A Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. |
4. One quarter (1/4) of the shares vested on January 1, 2019, and thereafter, the remainder of the shares vest in 36 equal monthly installments, subject to the Reporting Person's continuous service. |
5. One quarter (1/4) of the shares vested on May 2, 2020, and thereafter, the remainder of the shares vest in 36 equal monthly installments, subject to the Reporting Person's continuous service. |
6. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) sale or transfer of such share of Class B common stock; (2) the death or incapacity of the Reporting Person; (3) the Reporting Person's departure from the Issuer's board of directors; and (4) on the final conversion date, defined as the earlier of (a) the seventh anniversary of the Issuer's IPO; or (b) the date specified by vote of the holders of a majority of the outstanding shares of Class B common stock. |
Remarks: |
/s/ Dorothy Vinsky, Attorney-in-Fact | 07/07/2021 | |
** 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 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). | ||
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. |