SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
DD3 Mex Acquisition Corp

(Last) (First) (Middle)
C/O DD3 ACQUISITION CORP.
PEDREGAL 24, COLONIA MOLINO DEL REY

(Street)
MEXICO CITY O5 11040

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
DD3 Acquisition Corp. [ DDMX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
07/02/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Ordinary Shares 07/02/2019 S 430,800 D $0.0174 1,199,575 D(1)
Ordinary Shares 07/02/2019 S 430,800 D $0.0174 768,775 D(1)
Ordinary Shares 07/02/2019 S 135,702 D $0.0174 633,073 D(1)
Ordinary Shares 07/02/2019 S 79,698 D $0.0174 553,375 D(1)
Ordinary Shares 07/02/2019 S 269,250 D $0.0174 284,125 D(1)
Ordinary Shares 07/02/2019 S 25,000 D $0.0174 259,125 D(1)
Ordinary Shares 07/02/2019 S 5,000 D $0.0174 254,125 D(1)
Ordinary Shares 07/02/2019 S 5,000 D $0.0174 249,125 D(1)
Ordinary Shares 07/02/2019 S 5,000 D $0.0174 244,125 D(1)
Ordinary Shares 07/02/2019 S 5,000 D $0.0174 239,125 D(1)
Ordinary Shares 07/02/2019 S 47,825 D (2) 191,300 D(1)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Warrant $11.5 07/02/2019 S 47,825 (3) (4) Ordinary Shares 47,825 (2) 191,300 D(1)
Explanation of Responses:
1. 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.
2. 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.
3. 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.
4. The warrants expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation.
/s/ Alan I. Annex, Attorney-in-Fact 07/03/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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