SEC Form 4 · accession 0001144204-19-001656
Graf Industrial Corp. · GRAF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael E Dee
Officer — President and CFO · Director
Period of report
Jan 10, 2019
Accepted (ET)
Jan 14, 2019 · 9:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001745317
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Public Warrants (right to buy)F1,F2,F3 | $11.50 | Jan 10, 2019 | P | 10,000 | A | — | — | Common Stock | 5,000 | 10,000 | D |
| Public Warrants (right to buy)F1,F2,F3 | $11.50 | Jan 11, 2019 | P | 25,484 | A | — | — | Common Stock | 12,742 | 35,484 | D |
Explanation of responses
- F1Each whole public warrant is exercisable to purchase one-half of one share of Graf Industrial Corp.'s (the "Company") common stock at $11.50 per whole share, subject to adjustment as described under the heading "Description of Securities - Redeemable Warrants - Public Stockholders' Warrants" in the Company's Registration Statement on Form S-1 (File No. 333-227396).
- F2The public warrants will become exercisable beginning on the later of October 18, 2019 or 30 days after the completion of the Company's initial business combination as described under the heading "Description of Securities - Redeemable Warrants - Public Stockholders' Warrants" in the Company's Registration Statement on Form S-1 (File No. 333-227396).
- F3The public warrants will expire five years after the completion of the Company's initial business combination or earlier upon redemption or liquidation as described under the heading "Description of Securities - Redeemable Warrants - Public Stockholders' Warrants" in the Company's Registration Statement on Form S-1 (File No. 333-227396).