SEC Form 4 · accession 0001144204-19-011367
Graf Industrial Corp. · GRAF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Graf
Officer — Chief Executive Officer · Director
Period of report
Feb 26, 2019
Accepted (ET)
Feb 28, 2019 · 5:26 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 | Feb 26, 2019 | P | 4,612 | A | — | — | Common Stock | 2,306 | 200,000 | D |
Explanation of responses
- F1Each whole public warrant is exercisable to purchase one-half of one share, or three-quarters of one share, of the Issuer's 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 Issuer's Registration Statement on Form S-1 (File No. 333-227396) (the "Registration Statement").
- F2The public warrants will become exercisable beginning on the later of October 18, 2019 or 30 days after the completion of the Issuer's initial business combination as described under the heading "Description of Securities - Redeemable Warrants - Public Stockholders' Warrants" in the Registration Statement.
- F3The public warrants will expire five years after the completion of the Issuer'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 Registration Statement.