SEC Form 3 · accession 0001179110-16-030568
AquaVenture Holdings Ltd · WAAS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David F Lincoln
Director
Period of report
Oct 6, 2016
Accepted (ET)
Oct 6, 2016 · 7:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001422841
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | holding | — | — | — | 27,543 | D | ||
| Ordinary SharesF1,F2 | holding | — | — | — | 9,568,818 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of 6,696,669 ordinary shares held by Element Partners II L.P., 101,975 ordinary shares held by Element Partners II Intrafund, L.P., 133,973 ordinary shares held by Element Partners II A, L.P., 2,566,686 ordinary shares held by DFJ Element, L.P. and 69,515 ordinary shares held by DFJ Element Intrafund L.P. (such entities together, the "Element Entities").
- F2The general partner of Element Partners II, L.P. and Element Partners II Intrafund, L.P. is Element Partners II G.P., L.P. The general partner of Element Partners II G.P., L.P. is Element II G.P., LLC. The general partner of DFJ Element, L.P. and DFJ Element Intrafund, L.P. and is DFJ Element Partners, LLC. The general partner of DFJ Element Partners, LLC is Element Venture Partners LLC. The general partner of Element Partners II A, L.P. is Element Partners II A, GP LP. The general partners of Element Partners II A, GP LP are Element II A GP, LLC and Element Venture Partners, LLC. David Lincoln is a managing member of Element II G.P., LLC, Element II A, GP, LLC and Element Venture Partners LLC. Mr. Lincoln disclaims beneficial ownership over the shares held by the Element Entities, except to the extent of his pecuniary interest therein, if any.