Antwort auf die Frage von BAMZILLO von heute 7.05 Uhr: Nein, das Thema der möglichen Aktienverkaufswelle nach Ablauf der lock-up provision (30.4.) ist noch nicht vom Tisch. Bei der lock-up provision geht es um etwas anderes. Mit den Transaktionen vom 22.4., von denen ich gestern schrieb, haben Russell, Koziner etc. Aktien von Nikola erhalten, sie haben keine abgegeben.
Hier sind Textauszüge, die die lock-up provision betreffen, aus dem SEC-Filing S-1 vom 15.3.2021:
In November 2020, members of our board of directors at the time, executive officers, their affiliates and certain entities associated with those individuals, voluntarily agreed to extend their original lock-up provisions which were agreed to in connection with the Business Combination, from December 2020 to April 30, 2021.
As of December 31, 2020, we had approximately 391.0 million shares of common stock outstanding and private warrants to purchase approximately 0.8 million shares of common stock. Except as described below, all of the shares of our common stock are freely transferable without restriction or additional registration under the Securities Act of 1933, or the Securities Act. In November 2020, members of our board of directors, executive officers, their affiliates and certain entities associated with those individuals, voluntarily agreed to extend their original lock-up provisions which were agreed to in connection with the Business Combination, with respect to an aggregate of approximately 136.7 million shares of our common stock, including vested stock options and warrants, through April 30, 2021. We have also registered shares of common stock that we have issued, and may in the future issue, under our employee equity incentive plans. These shares may be sold freely in the public market upon issuance, subject to existing lock-up agreements and relevant vesting schedules, and applicable securities laws.
What is a lockup provision?
A lockup provision is an agreement that the shareholders will not sell their shares for a specified period of timeoften 180 daysfollowing a companys initial public offering. The point of the lockup provision is to keep existing shareholders from flooding the market and depressing prices in the companys offering. There are two primary types of lockup agreements. The first is an agreement between the investors and the company during a private offering.
The second type of lockup agreement is between the shareholders and the company underwriting the IPO. The company underwriting the IPO essentially purchases the shares to be offered to the public from the company, and wants assurances that it wont be undercut by the current shareholders.
Aus meiner Sicht kann es z.B. auch sein, dass Aktien, wenn die lock-up provision am 30.4.2021 abgelaufen ist, außerbörslich abgegeben werden oder dass keine abgegeben werden oder dass z.B. der Zeitraum der lock-up provision über den 30.4. 2021 hinaus verlängert wird.
Wichtige weitere Termine, bei denen es vermutlich Neuigkeiten, welcher Art auch immer, gibt, sind: 7.5.2021 Veröffentlichung der Zahlen Q1/2021 und Ausblick 8.6.2021 Jahreshauptversammlung
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