Oklo Inc.

11/18/2024 | Press release | Distributed by Public on 11/18/2024 16:15

Statement of Changes in Beneficial Ownership - Form 4

Ownership Submission
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN 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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(Print or Type Responses)
1. Name and Address of Reporting Person *
Klein Michael Stuart
2. Issuer Name and Ticker or Trading Symbol
Oklo Inc. [OKLO]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
640 FIFTH AVENUE, 14TH FLOOR
3. Date of Earliest Transaction (Month/Day/Year)
11/14/2024
(Street)
NEW YORK, NY 10019
4. If Amendment, Date Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $0.0001 per share 11/14/2024 J(1) 13,450,000 D $ 0 (1) 500,000(2) I See footnote(2)
Common Stock, par value $0.0001 per share 3,747,800(3) I See footnote(3)
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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 control number. SEC 1474 (9-02)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(Month/Day/Year)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Reporting Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Klein Michael Stuart
640 FIFTH AVENUE, 14TH FLOOR
NEW YORK, NY 10019
X X
M. Klein Associates, Inc.
640 FIFTH AVENUE, 14TH FLOOR
NEW YORK, NY 10019
X X
AltC Sponsor LLC
640 FIFTH AVENUE, 14TH FLOOR
NEW YORK, NY 10019
X X

Signatures

/s/ Michael Klein 11/18/2024
**Signature of Reporting Person Date
M. Klein Associates, Inc. /s/ Jay Taragin Name: Jay Taragin Title: Authorized Person 11/18/2024
**Signature of Reporting Person Date
AltC Sponsor LLC By: M. Klein Associates, Inc., its Manager By: /s/ Jay Taragin Name: Jay Taragin Title: Authorized Person 11/18/2024
**Signature of Reporting Person Date

Explanation of Responses:

* If the form is filed by more than one reporting person, see Instruction 4(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).
(1) Represents pro rata distribution by AltC Sponsor LLC (the "Sponsor") to its members (the "Distribution") following the business combination of AltC Acquisition Corp. with Oklo Inc., which closed on May 9, 2024. No consideration was paid in connection with the transaction reported herein.
(2) 212,920 of the shares reported (the "Shares") are held of record by M. Klein Associates, Inc. and 287,100 of the Shares are held of record by Allies Capital Corp., each of which received the Shares in the Distribution. Michael Klein is the controlling stockholder of M. Klein Associates, Inc., which is the managing member of the Sponsor. Michael Klein is the sole stockholder of Allies Capital Corp.
(3) Represents shares of Class A common stock directly held by M. Klein & Company, LLC. Klein Michael Stuart has a minority interest in M. Klein & Company, LLC. The filing of this statement shall not be an admission that, for purpose of Section 16 under the Securities Exchange Act of 1934, as amended, or otherwise, Klein Michael Stuart is the beneficial owner of any securities reported herein. Klein Michael Stuart disclaims beneficial ownership of any securities of the Issuer except to the extent of Klein Michael Stuart's pecuniary interest therein.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.