Statement of Changes in Beneficial Ownership (4)
July 29 2022 - 4:19PM
Edgar (US Regulatory)
FORM 4
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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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
*
Glibbery Ronald |
2. Issuer Name and Ticker or Trading Symbol
Peraso Inc.
[
PRSO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
2309 BERING DR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/28/2022 |
(Street)
SAN JOSE, CA 95131
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 7/28/2022 | | M | | 33054 | A(1) | (2) | 33054 | I | By family members |
Common Stock | 7/28/2022 | | M | | 28467 | A(3) | (2) | 28467 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Exchangeable Shares of 2864555 Ontario Inc. | (2) | 7/28/2022 | | G (4) |
V
| | 33054 | (2) | 12/17/2031 | Common Stock | 33054 | $0.00 | 9639 (5) | I | In Trust (6) |
Exchangeable Shares of 2864555 Ontario Inc. | (2) | 7/28/2022 | | G (4) |
V
| 33054 | | (2) | 12/17/2031 | Common Stock | 33054 | $0.00 | 33054 | I (4) | By family members |
Exchangeable Shares of 2864555 Ontario Inc. | (2) | | | | | | | (6) | 12/17/2031 | Common Stock | 28946 | | 28946 (7) | D | |
Exchangeable Shares of 2864555 Ontario Inc. | (2) | 7/28/2022 | | M (1) | | | 33054 | (2) | 12/17/2031 | Common Stock | 33054 | $0.00 | 0 | I | By family members |
Exchangeable Shares of 2864555 Ontario Inc. | (2) | 7/28/2022 | | M (3) | | | 28467 | (2) | 12/17/2031 | Common Stock | 28467 | $0.00 | 479 (8) | D | |
Explanation of Responses: |
(1) | On July 28, 2022, 33,054 Exchangeable Shares were exchanged into 33,054 shares of common stock. |
(2) | Exchangeable Shares are immediately exchangeable for shares of common stock on a 1-to-1 ratio. |
(3) | On July 28, 2022, 28,467 Exchangeable Shares were exchanged into 28,467 shares of common stock. |
(4) | This transaction involved a gift of common stock by the reporting person to family members whose holdings may be deemed attributable to the reporting person for the purposes of Section 16. |
(5) | Consists only of 9,639 Exchangeable Shares of 2864555 Ontario Inc. subject to escrow. Reflects the transfer of 25,553 Exchangeable Shares previously held by a trust, which were registered in the name of the reporting person on July 28, 2022 and are now directly owned by the reporting person. |
(6) | Shares are held in trust by the reporting person. |
(7) | Includes 479 Exchangeable Shares of 2864555 Ontario Inc. subject to escrow. Reflects the transfer of 25,553 Exchangeable Shares previously held by a trust, which were registered in the name of the reporting person on July 28, 2022 and are now directly owned by the reporting person. |
(8) | Consists only of 479 Exchangeable Shares of 2864555 Ontario Inc. subject to escrow |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Glibbery Ronald 2309 BERING DR SAN JOSE, CA 95131 | X |
| Chief Executive Officer |
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Signatures
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/s/ James Sullivan by power of attorney | | 7/29/2022 |
**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. |
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