0001144204-19-033845.txt : 20190703
0001144204-19-033845.hdr.sgml : 20190703
20190703193704
ACCESSION NUMBER: 0001144204-19-033845
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190702
FILED AS OF DATE: 20190703
DATE AS OF CHANGE: 20190703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Werner Martin
CENTRAL INDEX KEY: 0001754090
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38700
FILM NUMBER: 19942986
MAIL ADDRESS:
STREET 1: C/O DD3 ACQUISITION CORP., PEDREGAL 24
STREET 2: COLONIA MOLINO DEL REY, DEL. M. HIDALGO
CITY: MEXICO CITY
STATE: O5
ZIP: 05120
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: DD3 Acquisition Corp.
CENTRAL INDEX KEY: 0001748252
STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770]
IRS NUMBER: 000000000
STATE OF INCORPORATION: D8
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: PEDREGAL 24, COLONIA MOLINO DEL REY
STREET 2: DEL. MIGUEL HIDALGO
CITY: MEXICO CITY
STATE: O5
ZIP: 05120
BUSINESS PHONE: 52 55 8647-0417
MAIL ADDRESS:
STREET 1: PEDREGAL 24, COLONIA MOLINO DEL REY
STREET 2: DEL. MIGUEL HIDALGO
CITY: MEXICO CITY
STATE: O5
ZIP: 05120
4
1
tv524790_4.xml
OWNERSHIP DOCUMENT
X0306
4
2019-07-02
0
0001748252
DD3 Acquisition Corp.
DDMX
0001754090
Werner Martin
C/O DD3 ACQUISITION CORP.
PEDREGAL 24, COLONIA MOLINO DEL REY
MEXICO CITY
O5
11040
MEXICO
1
1
1
0
Chairman and CEO
Ordinary Shares
2019-07-02
4
S
0
430800
0.0174
D
1199575
I
See footnote
Ordinary Shares
2019-07-02
4
S
0
430800
0.0174
D
768775
I
See footnote
Ordinary Shares
2019-07-02
4
S
0
135702
0.0174
D
633073
I
See footnote
Ordinary Shares
2019-07-02
4
S
0
79698
0.0174
D
553375
I
See footnote
Ordinary Shares
2019-07-02
4
S
0
269250
0.0174
D
284125
I
See footnote
Ordinary Shares
2019-07-02
4
S
0
25000
0.0174
D
259125
I
See footnote
Ordinary Shares
2019-07-02
4
S
0
5000
0.0174
D
254125
I
See footnote
Ordinary Shares
2019-07-02
4
S
0
5000
0.0174
D
249125
I
See footnote
Ordinary Shares
2019-07-02
4
S
0
5000
0.0174
D
244125
I
See footnote
Ordinary Shares
2019-07-02
4
S
0
5000
0.0174
D
239125
I
See footnote
Ordinary Shares
2019-07-02
4
S
0
47825
D
191300
I
See footnote
Ordinary Shares
2019-07-02
4
P
0
430800
0.0174
A
430800
D
Warrant
11.5
2019-07-02
4
S
0
47825
D
Ordinary Shares
47825
191300
I
See footnote
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.
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.
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.
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.
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
2019-07-03