|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 |
|
| ||||||||||||||||||||||||||||||||||||||
|
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) |
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 Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DD Global Holdings Ltd PO BOX 31119 GRAND PAVILION HIBISCUS WAY, 802 WEST BAY ROAD GRAND CAYMAN, E9 KY1-1205 |
X | |||
DE Capital Ltd FOURTH FLOOR, ONE CAPITAL PLACE PO BOX 847 GRAND CAYMAN, E9 KY1-1103 |
X | |||
Li Pak Tam VISTRA CORPORATE SERVICES CENTRE PO BOX 957, ROAD TOWN TORTOLA, D8 VG1110 |
X | |||
Champ Key Ltd VISTRA CORPORATE SERVICES CENTRE PO BOX 957, ROAD TOWN TORTOLA, D8 VG1110 |
X |
Pak Tam Li, Director of DD Global Holdings Limited, by /s/ Ron A. Metzger, Attorney-in-Fact | 12/22/2020 | |
**Signature of Reporting Person | Date | |
Pak Tam Li, Director of DE Capital Limited, by /s/ Ron A. Metzger, Attorney-in-Fact | 12/22/2020 | |
**Signature of Reporting Person | Date | |
Pak Tam Li, Individually, by /s/ Ron A. Metzger, Attorney-in-Fact | 12/22/2020 | |
**Signature of Reporting Person | Date | |
Pak Tam Li, Director of Champ Key Limited, by /s/ Ron A. Metzger, Attorney-in-Fact | 12/22/2022 | |
**Signature of Reporting Person | Date |
* | 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) | Received pursuant to the Merger Agreement and Plan of Reorganization, dated as of August 17, 2020, by and among Hennessy Capital Acquisition Corp. IV ("Hennessy Capital"), HCAC IV First Merger Sub, Ltd., a direct, wholly-owned subsidiary of Hennessy Capital ("First Merger Sub"), HCAC IV Second Merger Sub, LLC, a direct, wholly-owned subsidiary of Hennessy Capital ("Second Merger Sub"), and Canoo Holdings Ltd. ("Legacy Canoo") pursuant to which, through a series of mergers between Legacy Canoo, First Merger Sub, and Second Merger Sub, Legacy Canoo became a direct, wholly-owned subsidiary of Hennessy Capital, which subsequently changed its name to Canoo Inc. (the "Issuer"). |
(2) | Shares are held directly by DD Global Holdings Limited ("DD Global"). DD Global is wholly owned by Champ Key Limited ("Champ Key"). Champ Key is wholly owned by DE Capital Capital Limited ("DE Capital"). DE Capital is wholly owned by Pak Tam Li ("Mr. Li"). Mr. Li may be deemed to hold sole voting and dispositive control over the shares held by DD Global. |
(3) | In accordance with footnote 2 above, Mr. Li may be deemed to hold sole voting and dispositive control over the shares held by Champ Key. |