SEC Form 4 · accession 0001144204-18-061976
DD3 Acquisition Corp. · DDMX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin Werner
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Nov 26, 2018
Accepted (ET)
Nov 28, 2018 · 3:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001748252
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1,F2 | Nov 26, 2018 | J | 46,250 | — | D | 1,630,375 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F146,250 shares were forfeited to the Issuer at no cost in connection with the expiration of the underwriters' over-allotment option, as described in the Issuer's registration statement on Form S-1, as amended (File No. 333-227423).
- F2The securities are held directly by DD3 Mex Acquisition Corp (the "Sponsor") and indirectly by Dr. Martin M. Werner and Jorge Combe, each of whom shares voting power with respect to the Sponsor. Each of Dr. Werner and Mr. Combe disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.