Dixon Group Files 13D on Amprius Technologies

TL;DR

**Dixon Group files 13D on Amprius Tech, watch for ownership shifts.**

AI Summary

On October 23, 2024, Donald R. Dixon, along with Trident Capital Fund-VI, L.P., Trident Capital Fund-VI Principals Fund, L.L.C., and Trident Capital Management-VI, L.L.C., filed a Schedule 13D concerning Amprius Technologies, Inc. This filing indicates a change in beneficial ownership of Amprius Technologies, Inc. common stock. The filing was made by Donald R. Dixon and associated entities, with Dixon's address listed as 400 S El Camino Real, Suite 1050, San Mateo, CA 94402.

Why It Matters

This filing signals a significant change in ownership or control for Amprius Technologies, Inc., potentially impacting its stock price and strategic direction.

Risk Assessment

Risk Level: medium — Schedule 13D filings often precede significant corporate actions or shifts in control, which can introduce volatility.

Key Players & Entities

• Amprius Technologies, Inc. (company) — Subject Company
• Donald R. Dixon (person) — Filing Person
• Trident Capital Fund-VI, L.P. (company) — Group Member
• Trident Capital Fund-VI Principals Fund, L.L.C. (company) — Group Member
• Trident Capital Management-VI, L.L.C. (company) — Group Member

FAQ

Key Financial Figures

• $0.0001 — INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class o
• $0.001 — of the Issuers common stock, par value $0.001 per share (the Common Stock), held by T
• $0.4631 — mprius Holdings) at a purchase price of $0.4631 per share and an aggregate purchase pri
• $2,100,000 — gregate purchase price of approximately $2,100,000. In March 2010, Trident Fund VI and T
• $250,000 — gregate purchase price of approximately $250,000. In February 2011, Trident Fund VI an
• $1.3562 — preferred stock at a purchase price of $1.3562 per share and an aggregate purchase pri
• $4,476,325 — gregate purchase price of approximately $4,476,325. In February 2011, Mr. Dixon purchase
• $249,999 — gregate purchase price of approximately $249,999. In December 2013, Trident Fund VI an
• $1.7328 — preferred stock at a purchase price of $1.7328 per share and an aggregate purchase pri
• $2,209,192 — gregate purchase price of approximately $2,209,192. In December 2013, Mr. Dixon purchase
• $80,906 — gregate purchase price of approximately $80,906. On October 23, 2024, Amprius Holding
• $1,000,000 — efined below) for an aggregate price of $1,000,000. The Dixon Revocable Trust under agreem
• $12.50 — Warrants are exercisable at a price of $12.50 per share. All shares of the capital

Filing Documents

• d893257dsc13d.htm (SC 13D) — 110KB
• d893257dex991.htm (EX-99.1) — 6KB
• 0001193125-24-245674.txt ( ) — 118KB

From the Filing

SC 13D 1 d893257dsc13d.htm SC 13D SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) AMPRIUS TECHNOLOGIES, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 03214Q 108 (CUSIP Number) Donald R. Dixon 400 S El Camino Real #1050 San Mateo, CA 94402 (650) 289-4455 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 23, 2024 (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. * The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following pages) CUSIP No. 03214Q 108 13D 1 NAMES OF REPORTING PERSONS Trident Capital Management VI, L.L.C. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a)(b) 3 SEC USE ONLY 4 SOURCE OF FUNDS (see instructions) AF 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 6,912,992 (1) 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 6,912,992 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,912,992 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 6.5% (2) 14 TYPE OF REPORTING PERSON (see instructions) IA (1) Securities disclosed herein consist of (i) 6,558,627 shares of the Issuers common stock, par value $0.001 per share (the Common Stock), held by Trident Capital Fund-VI, L.P. (Trident Fund VI), (ii) 254,365 shares of Common Stock held by Trident Capital FundVI Principals Fund, L.L.C. (Trident Principals VI), (iii) 96,267 shares of Common Stock issuable upon the exercise of 96,267 PIPE Warrants (as defined below) held by Trident Fund VI and (iv) 3,733 shares of Common Stock issuable upon the exercise of 3,733 PIPE Warrants held by Trident Principals VI. Trident Capital Management VI, L.L.C. (TCM VI) is the sole general partner of Trident Fund VI and the sole managing member of Trident Principals VI. Donald R. Dixon, a member of the Issuers board of directors, and John H. Moragne (collectively, the Managing Members) are the managing members of TCM VI and, as such, may be deemed to have shared voting and dispositive power with respect to the securities held of record by each of Trident Fund VI and Trident Principals VI. The Managing Members disclaim beneficial ownership of such securities, except to the extent of their respective pecuniary interest therein. (2) Based on 105,838,789 shares of Common Stock outstanding as of October 23, 2024, as reported by the Issuer in its Current Report on Form 8-K filed on October 23, 2024, plus 100,000 shares of Common Stock issuable upon the exercise of PIPE Warrants that are deemed to be beneficially owned by the Reporting Person. CUSIP No. 03214Q 108 13D 1 NAMES OF REPORTING PERSONS Trident Capital Fund-VI, L.P. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a)(b) 3 SEC USE ONLY 4 SOURCE OF FUNDS (see instructions) WC 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 6,654,894(1) 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 6,654,894(1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,654,894(1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 6.3% (2) 14 TYPE OF REPORTING PERSON (see instructions) PN (1) Securities disclosed herein consist of (i) 6,558,627 shares of Common Stock and (iii) 96,267 shares of Common Stock issuable upon the exercise of 96,267 PIPE Warrants, each held by Trident Fund VI. TCM VI is the sole general

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