SEC Form 4 · accession 0001144204-18-048145
Easterly Acquisition Corp. · EACQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Darrell W Crate
Director · 10% Owner
Period of report
Aug 31, 2018
Accepted (ET)
Sep 5, 2018 · 5:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001641197
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 4,928,000 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF2 | $11.50 | Aug 31, 2018 | P | 37,394 | A | — | — | Common Stock | 37,394 | 37,394 | D |
| WarrantsF2 | $11.50 | Sep 4, 2018 | P | 84,106 | A | — | — | Common Stock | 84,106 | 121,500 | D |
Explanation of responses
- F1Shares of Common Stock are held by Easterly Acquisition Sponsor, LLC. David Cody, Darrell Crate and Avshalom Kalichstein together have sole voting and investment power over the shares held by Easterly Acquisition Sponsor, LLC.
- F2The Warrants are exercisable 30 days after Easterly Acquisition Corp. completes its initial business combination and will be exercisable for a period of 5 years after the date that such initial business combination is completed or earlier upon redemption.