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

Barry McCarthy (SPOT) discloses Spotify share and option holdings on Form 3

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

Rhea-AI Filing Summary

Spotify Technology S.A. director Barry McCarthy filed an initial ownership report detailing his equity stake. The filing lists several stock option grants over ordinary shares with exercise prices ranging from $112.7700 to $672.0000 and expirations between 2026 and 2030. It also shows indirect ownership of 345,702 Ordinary Shares held through Rivers Cross Trust, which is wholly owned by McCarthy. Some options are fully vested and exercisable, while others vest in future annual installments beginning on February 15, 2027.

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Insider McCARTHY BARRY
Role Director
Type Security Shares Price Value
holding Stock Option -- -- --
holding Stock Option -- -- --
holding Stock Option -- -- --
holding Stock Option -- -- --
holding Stock Option -- -- --
holding Ordinary Share -- -- --
Holdings After Transaction: Stock Option — 5,630 shares (Direct); Ordinary Share — 345,702 shares (Indirect, By Trust)
Footnotes (1)
  1. The Ordinary Shares are held by Rivers Cross Trust, an entity wholly owned by Mr. McCarthy. The stock option is fully vested and currently exercisable. The stock option is vested and exercisable with respect to 4,971 Ordinary Shares and will vest with respect to the remaining shares on February 15, 2027. The stock option is vested and exercisable with respect to 1,626 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 380 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*
McCARTHY BARRY
(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 Share345,702IBy Trust(1)
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)05/31/2026Ordinary Share5,630$241.57D
Stock Option (2)05/31/2027Ordinary Share12,060$112.77D
Stock Option (3)06/01/2028Ordinary Share6,627$153.92D
Stock Option (4)06/03/2029Ordinary Share3,252$313.62D
Stock Option (5)06/02/2030Ordinary Share1,518$672D
Explanation of Responses:
1. The Ordinary Shares are held by Rivers Cross Trust, an entity wholly owned by Mr. McCarthy.
2. The stock option is fully vested and currently exercisable.
3. The stock option is vested and exercisable with respect to 4,971 Ordinary Shares and will vest with respect to the remaining shares on February 15, 2027.
4. The stock option is vested and exercisable with respect to 1,626 Ordinary Shares and will vest with respect to the remaining shares in two substantially equal annual installments beginning on February 15, 2027.
5. The stock option is vested and exercisable with respect to 380 Ordinary Shares and will vest with respect to the remaining shares in three substantially equal annual installments beginning on February 15, 2027.
Remarks:
Exhibit 24 - Power of Attorney.
/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 Barry McCarthy’s Form 3 filing for Spotify (SPOT) show?

The Form 3 shows Barry McCarthy’s existing equity stake in Spotify, including multiple stock option awards and indirect ownership of 345,702 Ordinary Shares through Rivers Cross Trust, providing a baseline view of his current holdings as a company director.

How many Spotify (SPOT) shares does Barry McCarthy indirectly own?

Barry McCarthy indirectly owns 345,702 Spotify Ordinary Shares. These shares are held by Rivers Cross Trust, which the filing states is wholly owned by McCarthy, meaning the position is reported as indirect beneficial ownership through this trust structure.

What stock options over Spotify (SPOT) shares does Barry McCarthy hold?

Barry McCarthy holds several Spotify stock option awards over Ordinary Shares, with exercise prices such as $112.7700, $153.9200, $241.5700, $313.6200 and $672.0000, and expiration dates ranging from 2026 through 2030, according to the derivative holdings disclosed.

Are Barry McCarthy’s Spotify (SPOT) stock options fully vested?

Some of Barry McCarthy’s Spotify stock options are fully vested and currently exercisable, while others vest over time. Footnotes explain that portions vest in substantially equal annual installments beginning on February 15, 2027, leaving part of each grant unvested until those future dates.

What is Rivers Cross Trust in Barry McCarthy’s Spotify (SPOT) filing?

Rivers Cross Trust is the entity that holds 345,702 Spotify Ordinary Shares reported as indirectly owned by Barry McCarthy. The filing notes that Rivers Cross Trust is wholly owned by McCarthy, so its holdings are attributed to him for beneficial ownership reporting.

Does Barry McCarthy’s Form 3 indicate recent buying or selling of Spotify (SPOT) shares?

The Form 3 is an initial ownership statement and lists Barry McCarthy’s existing stock and option holdings. The data provided categorize entries as holdings, with no explicit buy or sell transactions, focusing on positions and vesting terms rather than recent trading activity.