Company: LIDRW
Filing Date: 2025-02-24
Form Type: 10-K
Source: 0001437749-25-004906
Chunk: 430

Company: AEye, Inc.
Filing Date: 2025-02-24
Form: 10-K
Item: Item 9C
Chunk 430
---
, 2025, by:

      • 
      each person who is known by the Company to be the beneficial owner of more than five percent (5%) of the outstanding shares of the common stock; 

      • 
      each Named Executive Officer and director of the Company; and 

      • 
      all current executive officers and directors of the Company, as a group. 

Beneficial ownership is determined according to the rules of the SEC, which generally provide that a person or entity has beneficial ownership of a security if he, she, or it possesses sole or shared voting or investment power over that security, including options and warrants that are currently exercisable or exercisable within 60 days.

The beneficial ownership percentages set forth in the table below are based on 18,676,377 shares of common stock issued and outstanding as of February 18, 2025.  In computing the number of shares beneficially owned by a person and the percentage ownership of such person, we deemed to be outstanding all shares subject to equity awards held by the person that are currently exercisable, or would be exercisable or would vest based on service-based vesting conditions within 60 days of February 18, 2025.  However, we did not deem such shares outstanding for the purpose of computing the percentage ownership of any other person.

Unless otherwise noted in the footnotes to the following table, and subject to applicable community property laws, the persons and entities named in the table have sole voting and investment power with respect to their beneficially owned common stock and preferred stock.

      Name and Address of Beneficial Owner(1) 
      
      Number of Shares of 

      Percent  

      Common stock 

      Owned  

      Directors and Named Executive Officers: 

      Timothy J. Dunn(2) 

     85,456

     *

      Luis C. Dussan(3) 

     290,727

     1.56
     %

      Matthew Fisch(4) 

     238,520

     1.28
     %

      Prof. Dr. Bernd Gottschalk(5) 

     37,915

     *

      Jonathon B. Husby(6) 

     29,647

     *

      Sue E. Zeifman(7) 

     32,976

     *

      Andrew S. Hughes(8) 

     74,037

     *

      Conor B. Tierney(9) 

     125,600