Mahesh Karanth - Nov 11, 2021 Form 4/A - Amendment Insider Report for Rockley Photonics Holdings Ltd (RKLY)

Role: Chief Financial Officer
Signature: /s/ Tom Adams, Attorney-in-fact for Mahesh Karanth
Stock symbol: RKLY
Transactions as of: Nov 11, 2021
Transactions value $: -$46,235
Form type: 4/A - Amendment
Date filed: 7/8/2022, 09:12 PM
Date Of Original Report: Mar 17, 2022
Previous filing: Oct 27, 2021
Next filing: Dec 15, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	RKLY	Ordinary Share	Options Exercise	$0	+8.84K	+160.14%	$0.00	14.4K	Nov 11, 2021	Direct	F1
transaction	RKLY	Ordinary Share	Tax liability	-$14K	-3.62K	-25.22%	$3.87^*	10.7K	Nov 11, 2021	Direct	F1
transaction	RKLY	Ordinary Share	Options Exercise	$0	+3.09K	+28.77%	$0.00	13.8K	Nov 11, 2021	Direct	F2
transaction	RKLY	Ordinary Share	Tax liability	-$6.24K	-1.6K	-11.56%	$3.90^*	12.2K	Nov 11, 2021	Direct	F2
transaction	RKLY	Ordinary Share	Options Exercise	$0	+8.84K	+72.29%	$0.00	21.1K	Feb 11, 2022	Direct	F3
transaction	RKLY	Ordinary Share	Tax liability	-$19.7K	-5.06K	-24.03%	$3.90^*	16K	Feb 11, 2022	Direct	F3
transaction	RKLY	Ordinary Share	Options Exercise	$0	+3.09K	+19.31%	$0.00	19.1K	Feb 11, 2022	Direct	F3
transaction	RKLY	Ordinary Share	Tax liability	-$6.24K	-1.6K	-8.37%	$3.90^*	17.5K	Feb 11, 2022	Direct	F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	RKLY	Restricted Stock Unit	Options Exercise	$0	-8.84K	-6.25%	$0.00	133K	Nov 11, 2021	Ordinary Share	8.84K	$0.00	Direct	F1
transaction	RKLY	Restricted Stock Unit	Options Exercise	$0	-3.09K	-6.25%	$0.00	46.3K	Nov 11, 2021	Ordinary Share	3.09K		Direct	F2
transaction	RKLY	Restricted Stock Unit	Options Exercise	$0	-8.84K	-6.67%	$0.00	124K	Feb 11, 2022	Ordinary Share	8.84K	$0.00	Direct	F3
transaction	RKLY	Restricted Stock Unit	Options Exercise	$0	-3.09K	-6.67%	$0.00	43.3K	Feb 11, 2022	Ordinary Share	3.09K		Direct	F3

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Mahesh Karanth is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id	Content
F1	Each Restricted Stock Unit vested and converted into the right to receive one Ordinary Share effective 11/11/2021; however, the transaction was not executed by the plan administrator until 1/10/2022.
F2	Each Restricted Stock Unit vested and converted into the right to receive one Ordinary Share effective 11/11/2021; however, the transaction was not executed by the plan administrator until 3/15/2022.
F3	Each Restricted Stock Unit vested and converted into the right to receive one Ordinary Share effective 2/11/2022; however, the transaction was not executed by the plan administrator until 3/15/2022.