05/04/2026 | Press release | Distributed by Public on 05/04/2026 12:22
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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. | SEC 1474 (9-02) | ||
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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 Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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VOLKSWAGEN AG BERLINER RING 2 WOLFSBURG 38440 |
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Volkswagen US-Holding, Inc. 12110 SUNSET HILLS RD., SUITE 600 RESTON, VA 20190 |
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| /s/ Philip Haarmann, Chief Legal Officer, Volkswagen AG | 05/04/2026 | |
| **Signature of Reporting Person | Date | |
| /s/ Rolf Woller, Head of Group Treasury & Investor Relations, Volkswagen AG | 05/04/2026 | |
| **Signature of Reporting Person | Date | |
| /s/ Alexander Schuetz, Executive Director, Volkswagen US-Holding, Inc. | 05/04/2026 | |
| **Signature of Reporting Person | Date | |
| /s/ Anja Guenther, Executive Director, Volkswagen US-Holding, Inc. | 05/04/2026 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | The shares of Class A common stock reported herein are held of record by Volkswagen US-Holding, Inc. (formerly known as Volkswagen International America Inc.), which is a wholly-owned subsidiary of Volkswagen AG. Each of Volkswagen US-Holding, Inc. and Volkswagen AG may be deemed to share beneficial ownership of the securities reported herein. |
| (2) | The shares of Class A common stock reported herein were acquired in a private placement pursuant to the terms of the Investment Agreement, dated as of November 13, 2024, as amended on April 17, 2025, by and among Rivian Automotive, Inc., Volkswagen AG and Volkswagen International America Inc. |