SEC Form 4 · accession 0001094891-17-000014
Arowana Inc. · ARWA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C. Moore
Director
Period of report
Dec 28, 2016
Accepted (ET)
Jan 3, 2017 · 5:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001622577
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF2,F1 | Dec 28, 2016 | C | 1,604 | — | A | 43,201 | I | by Ralsten Pty Ltd. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Right to Receive Ordinary ShareF1,F2 | — | Dec 28, 2016 | C | 16,043 | D | — | — | Ordinary Share | 1,604 | 0 | I |
| Redeemable WarrantF1,F3 | — | Dec 28, 2016 | C | 16,043 | D | — | — | Ordinary Share of VivoPower International PLC | 802 | 0 | I |
Explanation of responses
- F1Ralsten Pty Ltd. is an entity controlled by Mr. Moore. Mr. Moore disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Moore is the beneficial owner of the securities for the purpose of Section 16 or for any other purpose.
- F2The issuer's rights were converted into ordinary shares of the issuer upon the issuer's completion of its initial business combination at a ratio of 1 ordinary share for every 10 rights.
- F3The issuer's warrants were converted into ordinary shares of VivoPower International PLC upon the issuer's completion of its initial business combination at a ratio of 1 ordinary share of VivoPower International PLC for every 20 warrants.