Caroline Brown Form 3 Rockley Photonics / Caroline Brown ownership change

SEC Form 3

FORM 3

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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1. Name and Address of Reporting Person^*

Brown Caroline

(Last) (First) (Middle)

234 E COLORADO BLVD.

#600

(Street)

PASADENA CA 91101

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
08/11/2021

3. Issuer Name and Ticker or Trading Symbol
Rockley Photonics Holdings Ltd [ RKLY ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (right to buy)	06/30/2020(1)	07/22/2029	Class A ordinary shares	15,521	3.7407	D
Stock Option (right to buy)	07/20/2021(2)	07/19/2030	Class A ordinary shares	15,521	3.1093	D
Stock Option (right to buy)	01/01/2020(3)	07/22/2029	Class A ordinary shares	31,043	3.7407	D

Explanation of Responses:

1. 25% of the shares subject to the options vested and became exercisable on June 30, 2020, and the remaining shares will vest monthly thereafter, subject to the Reporting Person's continued service at each vesting date.

2. 25% of the shares subject to the options vested and became exercisable on July 20, 2021, and the remaining shares will vest monthly thereafter, subject to the Reporting Person's continued service at each vesting date.

3. 25% of the shares subject to the options vested and became exercisable on January 1, 2020, and the remaining shares will vest monthly thereafter, subject to the Reporting Person's continued service at each vesting date.

Remarks:

Exhibit 24 - Power of Attorney

	/s/ Tom Adams, Attorney-in-fact for Caroline Brown	08/11/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.