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