0001615774-18-000846.txt : 20180205 0001615774-18-000846.hdr.sgml : 20180205 20180205164317 ACCESSION NUMBER: 0001615774-18-000846 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180201 FILED AS OF DATE: 20180205 DATE AS OF CHANGE: 20180205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VAN DYKE STEVEN A CENTRAL INDEX KEY: 0001042288 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38368 FILM NUMBER: 18574759 MAIL ADDRESS: STREET 1: C/O AMERICAN BANKNOTE CORP STREET 2: 560 SYLVAN AVE CITY: ENGLEWOOD CLIFFS STATE: NJ ZIP: 07632 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Effron Drew CENTRAL INDEX KEY: 0001729889 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38368 FILM NUMBER: 18574758 MAIL ADDRESS: STREET 1: 10124 FOXHURST COURT CITY: ORLANDO STATE: FL ZIP: 32836 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sozio Scott CENTRAL INDEX KEY: 0001403062 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38368 FILM NUMBER: 18574760 MAIL ADDRESS: STREET 1: BAY HARBOUR MANAGEMENT STREET 2: 885 THIRD AVENUE, 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MTech Sponsor LLC CENTRAL INDEX KEY: 0001719877 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38368 FILM NUMBER: 18574764 BUSINESS ADDRESS: STREET 1: 10124 FOXHURST CT CITY: ORLANDO STATE: FL ZIP: 32836 BUSINESS PHONE: 4073458332 MAIL ADDRESS: STREET 1: 10124 FOXHURST CT CITY: ORLANDO STATE: FL ZIP: 32836 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SS FL LLC CENTRAL INDEX KEY: 0001729464 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38368 FILM NUMBER: 18574763 BUSINESS ADDRESS: STREET 1: 10124 FOXHURST COURT CITY: ORLANDO STATE: FL ZIP: 32836 BUSINESS PHONE: 4073458332 MAIL ADDRESS: STREET 1: 10124 FOXHURST COURT CITY: ORLANDO STATE: FL ZIP: 32836 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Game Boy Partners LLC CENTRAL INDEX KEY: 0001729513 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38368 FILM NUMBER: 18574762 BUSINESS ADDRESS: STREET 1: 10124 FOXHURST COURT CITY: ORLANDO STATE: FL ZIP: 32836 BUSINESS PHONE: 4073458332 MAIL ADDRESS: STREET 1: 10124 FOXHURST COURT CITY: ORLANDO STATE: FL ZIP: 32836 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MTech Acquisition Corp CENTRAL INDEX KEY: 0001719893 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 822932611 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10124 FOXHURST CT CITY: ORLANDO STATE: FL ZIP: 32836 BUSINESS PHONE: 4073458332 MAIL ADDRESS: STREET 1: 10124 FOXHURST CT CITY: ORLANDO STATE: FL ZIP: 32836 4 1 s108946_4.xml 4 X0306 4 2018-02-01 0 0001719893 MTech Acquisition Corp MTECU 0001719877 MTech Sponsor LLC 10124 FOXHURST CT ORLANDO FL 32836 0 0 1 0 0001729464 SS FL LLC 10124 FOXHURST COURT ORLANDO FL 32836 0 0 1 0 0001729513 Game Boy Partners LLC 10124 FOXHURST COURT ORLANDO FL 32836 0 0 1 0 0001403062 Sozio Scott BAY HARBOUR MANAGEMENT 885 THIRD AVENUE, 34TH FLOOR NEW YORK NY 10022 0 1 1 0 Director and CEO 0001042288 VAN DYKE STEVEN A C/O AMERICAN BANKNOTE CORP 560 SYLVAN AVE ENGLEWOOD CLIFFS NJ 07632 1 0 1 0 0001729889 Effron Drew 10124 FOXHURST COURT ORLANDO FL 32836 0 0 1 0 Class A Common Stock 2018-02-01 4 P 0 225000 10 A 225000 D These shares are underlying units (each unit consisting of one share of Class A common stock and one warrant, each warrant exercisable to purchase one share of Class A common stock) held by MTech Sponsor LLC (the "Sponsor"), acquired pursuant to an unit subscription agreement by and between the Sponsor and the issuer. Does not include 1,437,500 shares of Class B common stock previously reported on a Form 3, which shares will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights. SS FL LLC and Game Boy Partners, LLC are the managing members of MTech Sponsor LLC and have voting and investment discretion with respect to the common stock held of record by MTech Sponsor LLC. SS FL LLC and Game Boy Partners, LLC may be deemed to have shared beneficial ownership of the common stock held directly by MTech Sponsor LLC. Messrs. Sozio and Van Dyke are the issuer's Chief Executive Officer and Director and Chairman, respectively, and, Mr. Sozio and Mr. Van Dyke are the managing members of SS FL LLC, one of the managing members of the Sponsor. Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the Sponsor, and jointly with Mr. Sozio and Mr. Van Dyke has the voting and dispositive power of the securities held by the Sponsor. Accordingly, Mr. Sozio, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares. Each such person or entity disclaims beneficial ownership over any securities owned by the Sponsor in which they do not have any pecuniary interest. /s/ Scott Sozio, as managing member of SS FL LLC, a managing member of MTech Sponsor LLC 2018-02-05 /s/ Drew Effron, as managing member of Game Boy Partners, LLC, a managing member of MTech Sponsor LLC 2018-02-05 /s/ Scott Sozio, an authorized signatory of MTech Sponsor LLC 2018-02-05 /s/ Scott Sozio 2018-02-05 /s/ Drew Effron 2018-02-05 /s/ Steven Van Dyke 2018-02-05