Werner Martin 4

Accession 0001144204-19-033845

CIK 0001748252other

Filed

Jul 2, 8:00 PM ET

Accepted

Jul 3, 7:37 PM ET

Size

26.6 KB

Accession

0001144204-19-033845

Form 4

Period: 2019-07-02

DirectorChairman and CEO10% Owner

Transactions

Sale
Warrant
2019-07-02−47,825→ 191,300 total(indirect: See footnote)
Exercise: $11.50→ Ordinary Shares (47,825 underlying)
Sale
Ordinary Shares
2019-07-02$0.02/sh−430,800$7,496→ 768,775 total(indirect: See footnote)
Sale
Ordinary Shares
2019-07-02$0.02/sh−79,698$1,387→ 553,375 total(indirect: See footnote)
Sale
Ordinary Shares
2019-07-02$0.02/sh−25,000$435→ 259,125 total(indirect: See footnote)
Sale
Ordinary Shares
2019-07-02$0.02/sh−5,000$87→ 254,125 total(indirect: See footnote)
Sale
Ordinary Shares
2019-07-02$0.02/sh−5,000$87→ 249,125 total(indirect: See footnote)
Sale
Ordinary Shares
2019-07-02−47,825→ 191,300 total(indirect: See footnote)
Sale
Ordinary Shares
2019-07-02$0.02/sh−430,800$7,496→ 1,199,575 total(indirect: See footnote)
Sale
Ordinary Shares
2019-07-02$0.02/sh−135,702$2,361→ 633,073 total(indirect: See footnote)
Sale
Ordinary Shares
2019-07-02$0.02/sh−269,250$4,685→ 284,125 total(indirect: See footnote)
Sale
Ordinary Shares
2019-07-02$0.02/sh−5,000$87→ 244,125 total(indirect: See footnote)
Sale
Ordinary Shares
2019-07-02$0.02/sh−5,000$87→ 239,125 total(indirect: See footnote)
Purchase
Ordinary Shares
2019-07-02$0.02/sh+430,800$7,496→ 430,800 total

Footnotes (5)

[F1]The securities are held directly by DD3 Mex Acquisition Corp (the "Sponsor") and indirectly by Dr. Martin M. Werner and Jorge Combe, each of whom shares voting power with respect to the Sponsor. Certain of the Issuer's other officers and directors hold economic interests in the Sponsor and pecuniary interests in certain of the securities held by the Sponsor. Each of Dr. Werner, Mr. Combe and such other officers and directors disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
[F2]Pursuant to an assignment agreement by and between the Sponsor and Dr. Guillermo Ortiz, 47,825 units ("Private Units") were transferred to Dr. Ortiz at a price of $10.00 per Private Unit. Each Private Unit consists of one ordinary share and one warrant.
[F3]Represents 430,800 shares previously held through the Sponsor, which were transferred to Dr. Werner pursuant to an assignment agreement by and between the Sponsor and Dr. Werner, that are now owned directly by Dr. Werner.
[F4]The warrants will become exercisable on the later of 30 days after the completion of the Issuer's initial business combination or October 16, 2019.
[F5]The warrants expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation.

Documents

1 file

DD3 Acquisition Corp.

CIK 0001748252

Entity typeother