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  4. [Form 3] Spotify Technology S.A. Initial Statement of Beneficial Ownership

Mona Sutphen details Spotify (NYSE: SPOT) share and option stakes

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

Spotify Technology S.A. director Mona Sutphen filed an initial ownership report showing direct holdings of 1,656 Ordinary Shares, including 552 restricted stock units that vest under existing award terms. She also holds several stock option grants over Ordinary Shares at exercise prices of 112.7700, 169.1600, 313.6200 and 672.0000, with expirations between 2027 and 2030, some fully vested and others vesting in annual installments starting February 15, 2027.

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Insider Sutphen Mona
Role Director
Type Security Shares Price Value
holding Stock Option -- -- --
holding Stock Option -- -- --
holding Stock Option -- -- --
holding Stock Option -- -- --
holding Ordinary Share -- -- --
Holdings After Transaction: Stock Option — 5,544 shares (Direct); Ordinary Share — 1,656 shares (Direct)
Footnotes (1)
  1. Includes 552 restricted stock units ("RSUs"), which vest in accordance with the terms of the applicable awards. Each RSU represents a contingent right to receive one Ordinary Share. The stock option is fully vested and currently exercisable. The stock option is vested and exercisable with respect to 1,220 Ordinary Shares and will vest with respect to the remaining shares in two substantially equal annual installments beginning on February 15, 2027. The stock option is vested and exercisable with respect to 285 Ordinary Shares and will vest with respect to the remaining shares in three substantially equal annual installments beginning on February 15, 2027.
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SEC Form 3
FORM 3UNITED 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
OMB APPROVAL
OMB Number:3235-0104
Estimated average burden
hours per response:0.5
1. Name and Address of Reporting Person*
Sutphen Mona
(Last)(First)(Middle)
33 BOULEVARD PRINCE HENRI
(Street)
LUXEMBOURGL-1724
(City)(State)(Zip)
UNITED STATES
(Country)		2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026		3. Issuer Name and Ticker or Trading Symbol
Spotify Technology S.A. [ SPOT ]
3a. Foreign Trading Symbol
5. If Amendment, Date of Original Filed (Month/Day/Year)
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
Ordinary Share1,656(1)D
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 ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (2)05/31/2027Ordinary Share5,544$169.16D
Stock Option (2)05/31/2027Ordinary Share1,507$112.77D
Stock Option (3)06/03/2029Ordinary Share2,439$313.62D
Stock Option (4)06/02/2030Ordinary Share1,138$672D
Explanation of Responses:
1. Includes 552 restricted stock units ("RSUs"), which vest in accordance with the terms of the applicable awards. Each RSU represents a contingent right to receive one Ordinary Share.
2. The stock option is fully vested and currently exercisable.
3. The stock option is vested and exercisable with respect to 1,220 Ordinary Shares and will vest with respect to the remaining shares in two substantially equal annual installments beginning on February 15, 2027.
4. The stock option is vested and exercisable with respect to 285 Ordinary Shares and will vest with respect to the remaining shares in three substantially equal annual installments beginning on February 15, 2027.
/s/ Sung Lee, Attorney-in-fact03/18/2026
** Signature of Reporting PersonDate
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.
* Form 3: SEC 1473 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What does Mona Sutphen’s Form 3 filing for Spotify (SPOT) show?

The filing shows Mona Sutphen’s initial ownership in Spotify, including 1,656 Ordinary Shares and several stock option awards. It establishes her baseline equity position as a director, detailing share counts, option exercise prices, vesting status, and expiration dates for future reference.

How many Spotify (SPOT) Ordinary Shares does Mona Sutphen hold?

Mona Sutphen directly holds 1,656 Spotify Ordinary Shares. This total includes 552 restricted stock units, each representing a contingent right to receive one Ordinary Share, which will vest in line with the terms of the applicable equity award agreements over time.

What stock options does Mona Sutphen report in Spotify (SPOT)?

She reports stock options over Ordinary Shares with exercise prices of $112.7700, $169.1600, $313.6200 and $672.0000. These options cover thousands of underlying shares and have expiration dates ranging from May 31, 2027 to June 2, 2030, according to the filing data.

Are Mona Sutphen’s Spotify (SPOT) stock options already vested?

Some of Mona Sutphen’s stock options are fully vested and currently exercisable, while others are only partially vested. Footnotes state certain grants will vest in substantially equal annual installments beginning February 15, 2027, creating a staggered vesting schedule across different option awards.

What do the restricted stock units in Mona Sutphen’s Spotify (SPOT) holdings represent?

The 552 restricted stock units represent a right to receive one Spotify Ordinary Share per unit upon vesting. They are part of her equity compensation and will vest according to the terms of the underlying awards, increasing her share ownership as they convert over time.