SEC Form 4/A · accession 0001094891-17-000032
Arowana Inc. · ARWA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Kevin Chin
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Dec 28, 2016
Accepted (ET)
Jan 9, 2017 · 4:30 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,F2 | Dec 28, 2016 | S$0 | 201,499 | $0.00 | D | 1,214,639 | I | by The Panaga Group Trust |
| Ordinary SharesF3,F4,F2 | Dec 28, 2016 | C | 17,928 | — | A | 1,232,567 | I | by The Panaga Group Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Line 2 in Table I of the Form 4 filed by the reporting person on January 3, 2017 is being amended to correct the number of shares disposed of and the amount of shares beneficially owned following the transaction.
- F2Mr. Chin is a beneficiary of The Panaga Group Trust and one of the directors of the corporate trustee of such fund. Accordingly, he may be deemed to have voting and dispositive power over the shares held by this entity. Mr. Chin 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. Chin is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- F3The 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.
- F4Line 3 in Table I of the Form 4 filed by the reporting person on January 3, 2017 is being amended to correct the amount of shares beneficially owned following the transaction.