UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Class B Common Stock | (1) | (1) | Class A Common Stock | 5,656,820 | $ (1) | I | See footnote (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HENNESSY DANIEL J C/O HENNESSY CAPITAL ACQ. CORP. IV 3485 N. PINES WAY, SUITE 110 WILSON, WY 83014 |
X | X | Chief Executive Officer | |
Hennessy Capital Partners IV LLC 3485 N. PINES WAY, SUITE 110 WILSON, WY 83014 |
X | |||
Hennessy Capital LLC 3485 N. PINES WAY, SUITE 110 WILSON, WY 83014 |
X |
/s/ Daniel J. Hennessy | 02/28/2019 | |
**Signature of Reporting Person | Date | |
/s/ Daniel J. Hennessy, the Managing Member of Hennessy Capital LLC | 02/28/2019 | |
**Signature of Reporting Person | Date | |
/s/ Daniel J. Hennessy, the Managing Member of Hennessy Capital LLC, the Managing Member of Hennessy Capital Partners IV LLC | 02/28/2019 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | As described in the registrant's registration statement on Form S-1 (File No. 333-229608) under the heading "Description of Securities-Founder Shares," the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date. |
(2) | These shares of Class B common stock are held by Hennessy Capital Partners IV LLC ("HCP"), acquired pursuant to a subscription agreement dated as of August 16, 2018 by and among HCP and the registrant. Daniel J. Hennessy, the Chairman and Chief Executive Officer of the registrant, is the sole managing member of Hennessy Capital LLC, the sole managing member of HCP. Mr. Hennessy has sole voting and dispositive control over the shares held by HCP and may be deemed the beneficial owner of such shares. These shares include an aggregate of 847,171 shares that are subject to forfeiture to the extent that the underwriters do not exercise their over-allotment option in connection with the registrant's initial public offering in full. Mr. Hennessy disclaims beneficial ownership over any securities owned by HCP in which he does not have any pecuniary interest. |