SEC Form 5 · accession 0001213900-15-000902
Chart Acquisition Corp. · CACG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph R Wright Jr.
Officer — CEO · Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 10, 2015 · 7:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001527349
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (Right to Buy)F1 | $11.50 | Sep 12, 2014 | P | 254 | A | — | — | Common Stock | 254 | 12,754 | D |
Explanation of responses
- F1On September 12, 2014, Mr. Wright acquired 254 warrants at a purchase price of $0.30 per warrant pursuant to a tender offer commenced in connection with a special meeting of stockholders of Chart Acquisition Corp. ("Chart") to approve, among other matters, an amendment to Chart's existing charter extending the date by which Chart must consummate its initial business combination (the "Business Combination") from September 13, 2014 to March 13, 2015. Each warrant is exercisable to purchase one share of common stock of Chart at an exercise price of $11.50 during the period commencing on the later of (i) December 19, 2013 or (ii) 30 days following the consummation of the Business Combination, and expiring on the fifth anniversary of the consummation of the Business Combination.