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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (Right to Buy) | $ 5.83 | 12/10/2021 | X | 1 | 05/18/2021 | 06/19/2024 | Common Stock | 2,400,000 | $ 0 | 0 | I | By LLC (2) | |||
Option (Right to Buy) | $ 5.83 | 12/10/2021 | X | 1 | 05/18/2021 | 06/19/2024 | Common Stock | 1,200,000 | $ 0 | 0 | I | By LLC (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Aquila Tony C/O CANOO INC. 19951 MARINER AVE. TORRANCE, CA 90503 |
X | X | Executive Chairman and CEO |
Tony Aquila, by /s/ Michael Fielkow, Attorney-in-Fact | 12/14/2021 | |
**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) | Following the exercise of the options, the shares are held as follows: 12,359,387 shares are held directly by AFV Partners SPV-4 LLC ("AFV 4"); 35,273,268 are held directly by AFV Partners SPV-7 LLC ("AFV 7"); and 3,600,000 shares are held directly by AFV Partners LLC ("AFV Partners"). The Reporting Person is (i) the managing member of AFV Management Advisors LLC, which exercises ultimate voting and investment power with respect to the shares held by AFV 4 and AFV 7; and (ii) the sole member and manager of AFV Partners. The Reporting Person disclaims beneficial ownership of the shares held by AFV 4, AFV 7 and AFV Partners, except to the extent of his pecuniary interest therein. |
(2) | The options were held by AFV Partners. Reporting Person is the sole member and manager of AFV Partners. |