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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 | ||||||||
Warrants | $ 11.50 | 02/02/2022 | J(1) | 4,900,000 | 01/17/2021 | 12/18/2025 | Common shares | 4,900,000 | (1) | 0 | D (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Schultze Special Purpose Acquisition Sponsor, LLC 800 WESTCHESTER AVENUE, SUITE S-632 RYE BROOK, NY 10573 |
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Schultze Special Purpose Acquisition Sponsor, LLC, By: Schultze Asset Management, LP, its manager, By: Schultze Asset Management GP, LLC, its general partner, By: /s/ George J. Schultze, Managing Member | 02/04/2022 | |
**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) | Schultze Special Purpose Acquisition Sponsor, LLC (the "Sponsor") entered into a Waiver of Certain Rights (the "Waiver") with the Issuer on February 2, 2022 (the "Waiver Date"), pursuant to which, among other matters, the Sponsor waived its right to exercise any of its 4,900,000 warrants to purchase common shares, which waiver shall terminate upon 61 days' prior written notice to the Issuer. As such warrants are not exercisable within 60 days under the terms of the Waiver, as of the Waiver Date, the common shares underlying such warrants are no longer beneficially owned by the Sponsor. |
(2) | The securities are held directly by the Sponsor and indirectly by George J. Schultze, who controls both Schultze Asset Management, LP, the manager of the Sponsor, and Schultze Master Fund, Ltd, the majority owner of the Sponsor. Mr. Schultze disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |