SEC Form 4 · accession 0001094891-17-000018
Arowana Inc. · ARWA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kien Khan Kwan
Director
Period of report
Dec 28, 2016
Accepted (ET)
Jan 3, 2017 · 5:50 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 SharesF1 | Dec 21, 2016 | C | 604 | — | A | 32,201 | D |
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 | — | Dec 28, 2016 | C | 6,043 | D | — | — | Ordinary Share | 604 | 0 | D |
| Redeemable WarrantF2 | — | Dec 28, 2016 | C | 6,043 | D | — | — | Ordinary Share of VivoPower International PLC | 302 | 0 | D |
Explanation of responses
- F1The 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.
- F2The 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.