Statement of Changes in Beneficial Ownership (4)
2023年2月25日 - 1:38AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
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
*
IBK Securities Co., Ltd. |
2. Issuer Name and Ticker or Trading Symbol
NUSCALE POWER Corp
[
SMR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
11 GUKJEGEUMYUNG-RO 6-GIL,, YEONGDEUNGPO-GU |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/6/2023 |
(Street)
SEOUL, M5 07330
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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 Common Stock | 1/6/2023 | | S | | 45000 | D | $10.2473 | 3632787 | I (1)(3) | Next Tech 1 New Technology Investment Fund. See Footnote (1)(3) |
Class A Common Stock | 1/9/2023 | | S | | 45000 | D | $10.4371 | 3587787 | I (1)(3) | Next Tech 1 New Technology Investment Fund. See Footnote (1)(3) |
Class A Common Stock | 1/6/2023 | | S | | 7000 | D | $10.2435 | 295420 | I (2)(3) | Next Tech 2 New Technology Investment Fund. See Footnote (2)(3) |
Class A Common Stock | 1/9/2023 | | S | | 8000 | D | $10.4374 | 287420 | I (2)(3) | Next Tech 2 New Technology Investment Fund. See Footnote (2)(3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Explanation of Responses: |
(1) | The reported securities were, or are, directly held by Next Tech 1 New Technology Investment Fund ("Next Tech 1"). IBKS is, together with BH Investment and Liberty Ltd. ("BHI"), a co-general partner of Next Tech 1. IBKS disclaims any beneficial ownership of the securities held by NextTech 1, other than to the extent of any pecuniary interest it may have therein, directly or indirectly. |
(2) | The reported securities were directly held by Next Tech 2 New Technology Investment Fund ("Next Tech 2"). IBKS is, together with BHI, a co-general partner of Next Tech 2. IBKS disclaims any beneficial ownership of the securities held by NextTech 2, other than to the extent of any pecuniary interest it may have therein, directly or indirectly. |
(3) | Industrial Bank of Korea ("IBK"), as the controlling person of IBKS, and the Republic of Korea Ministry of Economy and Finance ("MOEF"), as the controlling person of IBK, are deemed to be indirect beneficial owners of the shares of Class A Common Stock owned by Next Tech 1 and Next Tech 2, and the shares of Class B Common Stock owned by NuScale Korea. IBK and MOEF disclaim any beneficial ownership of the securities held by Next Tech 1, Next Tech 2, and NuScale Korea, other than to the extent of any pecuniary interest they may have therein, directly or indirectly. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
IBK Securities Co., Ltd. 11 GUKJEGEUMYUNG-RO 6-GIL, YEONGDEUNGPO-GU SEOUL, M5 07330 |
| X |
|
|
Signatures
|
IBK SECURITIES CO., LTD., By: /s/ Chan Geol Moon, Name: Chan Geol Moon, Title: Managing Director, Head of Business Management Division | | 2/24/2023 |
**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). |
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 control number. |
Spring Valley Acquisition (NASDAQ:SV)
過去 株価チャート
から 12 2024 まで 1 2025
Spring Valley Acquisition (NASDAQ:SV)
過去 株価チャート
から 1 2024 まで 1 2025
Real-Time news about Spring Valley Acquisition Corporation (ナスダック市場): 0 recent articles
その他のNuscale Power Corpニュース記事