SEC Form 4 · accession 0001683168-18-002457
Tottenham Acquisition I Ltd · TOTAU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 6, 2018
Accepted (ET)
Aug 21, 2018 · 4:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001731176
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1,F2 | Aug 6, 2018 | P$0 | 15,000 | — | A | 1,230,000 | I | See note |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to purchase Ordinary SharesF1,F2,F3,F4 | $11.50 | Aug 6, 2018 | P | 15,000 | A | — | — | Ordinary Shares | 7,500 | 107,500 | I |
| Rights to acquire Ordinary SharesF1,F2,F5 | — | Aug 6, 2018 | P | 15,000 | A | — | — | Ordinary Shares | 1,500 | 21,500 | I |
Explanation of responses
- F1The reporting person acquired 15,000 units consisting of ordinary shares ,warrants and rights at a purchase price of $10.00 per share.
- F2The securities reported herein are held by Norwich Investments Limited and may be deemed to be indirectly beneficially owned by Jason Wong. Mr. Wong disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F3The warrants become exercisable on the later of (i) the completion of the registrant's initial business combination and (ii) 12 months from the closing of the registrant's initial public offering.
- F4The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.
- F5The rights convert automatically into ordinary shares at the completion of the registrant's initial business combination.