10/30/2026 | Press release | Distributed by Public on 10/30/2026 15:34
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
| 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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1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Mulvey Derek B C/O RIVIAN AUTOMOTIVE, INC. 14600 MYFORD ROAD IRVINE, CA 92606 |
Interim CFO | |||
| /s/ Jamie Chung, Attorney-in-Fact | 10/30/2026 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 5(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) | Consists of: (i) 73,057 shares resulting from previously vested Restricted Stock Units ("RSUs"), (ii) 1,798 shares purchased pursuant to the Issuer's 2021 Employee Stock Purchase Plan, (iii) 2,490 shares purchased pursuant to the Issuer's Directed Share Program at the time of its Initial Public Offering, and (iv) 218,855 unvested RSUs. Of the aggregate 218,855 unvested RSUs: (i) 160 of such unvested RSUs will vest on the next quarterly anniversary after August 15, 2026, (ii) 24,500 of such unvested RSUs will vest over the next three quarterly anniversaries after August 15, 2026, (iii) 68,803 of such unvested RSUs will vest over the next ten quarterly anniversaries after August 15, 2026, and (iv) 125,392 of such unvested RSUs will vest as to 50% on February 15, 2027 and 50% on August 15, 2027. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock and has no expiration date. |