Ambiq Micro SEC Filings

Ambiq Micro (AMBQ): Kleiner Perkins-affiliated funds reported beneficial ownership of Ambiq Micro common stock as of 09/30/2025. Reported holdings include: KPCB XVI at 1,439,667 shares (7.9%); KPCB XVI Founders Fund at 49,282 shares (0.3%); KPCB XVI Associates at 1,488,949 shares (8.2%); Kleiner Perkins Select Fund at 575,867 shares (3.2%); Kleiner Perkins Select Founders Fund at 17,015 shares (0.1%); and Kleiner Perkins Select Associates at 592,882 shares (3.3%).

Each reporting person lists sole voting and dispositive power over its shares, with notes that managing members (XVI Associates or KP Select Associates, as applicable) may be deemed to have sole power to vote and dispose. The filing is a Schedule 13G, reflecting beneficial ownership positions rather than a sale or issuance.

Ambiq Micro, Inc. reported a Form 4 showing that Jeffrey G. Winzeler, the company's Chief Financial Officer and a director, was granted 52,667 restricted stock units (RSUs) on 10/02/2025. The RSUs have a grant price of $0, meaning they are equity awards that convert to common stock upon settlement rather than a cash purchase.

Per the award terms, 25% of the RSUs vest on 10/01/2026, with the remainder vesting in equal quarterly installments at a rate of 1/12 of the total grant thereafter, subject to continued service under the 2025 Equity Incentive Plan. Following the grant, the reporting person beneficially owns 52,667 shares subject to the award, held directly.

Hanson Scott McLean, who serves as Chief Financial Officer and a director of Ambiq Micro, Inc. (AMBQ), received a grant of $0-priced restricted stock units totaling 83,819 RSUs on 10/02/2025. Each RSU converts into one share of common stock upon settlement. After the grant, the reporting person beneficially owns 132,818 shares in total. The RSUs vest 25% on 10/01/2026 with the remainder vesting in equal quarterly installments of 1/12 thereafter, subject to continued service under the 2025 Equity Incentive Plan. The grant was reported on the Form 4 filed and signed by an attorney-in-fact on 10/06/2025.

Ambiq Micro, Inc. (AMBQ) reported an insider equity award: Sean Chihhsiang Chen, the company's President and COO, received 56,029 restricted stock units (RSUs) on 10/02/2025. Each RSU converts to one share of common stock upon settlement and was granted at a $0 per-share price, indicating a compensatory award rather than a purchase. The RSUs vest 25% on 10/01/2026, with the remaining shares vesting in equal quarterly installments of 1/12 thereafter, subject to continuous service under the 2025 Equity Incentive Plan. The Form 4 discloses 56,029 shares beneficially owned following the grant.

Ambiq Micro director and CEO Fumihide Esaka received a grant of 159,907 restricted stock units (RSUs) on 10/02/2025. Each RSU converts to one share of common stock upon settlement, and following the grant the Reporting Person beneficially owned 176,913 shares. Under the disclosed vesting schedule, 25% of the RSUs vest on 10/01/2026, with the remainder vesting in equal 1/12 portions quarterly thereafter, contingent on continuous service under the company’s 2025 Equity Incentive Plan. The Form 4 was signed by an attorney-in-fact on 10/06/2025.

Ambiq Micro, Inc. reported Board-approved one-time cash bonuses awarded to four senior executives in recognition of their contributions during the company’s initial public offering and to promote retention. The specified cash awards were $328,000 to Fumihide Esaka (Chief Executive Officer), $328,000 to Scott Hanson (Chief Technology Officer), $120,000 to Jeff Winzeler (Chief Financial Officer) and $105,000 to Sean Chen (President and Chief Operating Officer). The filing also discloses that on September 29, 2025 the Board approved acceleration of one-third of Mr. Winzeler’s previously issued stock options, effective October 1, 2025. The disclosure was signed by Jeffery G. Winzeler as Chief Financial Officer.

Ambiq Micro, Inc. (AMBQ) discloses operational and risk details in its quarterly report. The company reported share counts of 347,983,712 shares authorized with 341,496,158 issued and outstanding at June 30, 2025 and December 31, 2024, and separately references a 500,000,000 authorized share figure with smaller issued counts of 450,682 and 434,720 for the same dates. No dividends have been declared and no deemed dividends were recorded for the three and six months ended June 30, 2025. Management (the CEO as CODM) evaluates consolidated revenue, gross margin, operating expenses and net loss for a single operating segment. The filing lists numerous operational risks, including a history of net losses, concentration of end customers, reliance on a single third-party wafer fabricator and limited suppliers, challenges in manufacturing and supply chain, potential IP and regulatory risks, material weakness in internal control over financial reporting, and exposure to geopolitical and macroeconomic events.

Ambiq Micro, Inc. filed a current report to note that it released a press release on September 4, 2025 covering its financial results for the quarter ended June 30, 2025. The company states that this press release is attached as Exhibit 99.1 and is incorporated by reference.

The report clarifies that the earnings information is being "furnished" rather than "filed" under securities laws, which affects how it is treated for certain legal liability purposes and for inclusion in other regulatory documents. The filing is signed on behalf of Ambiq Micro, Inc. by its Chief Financial Officer, Jeffrey G. Winzeler.