Amended Statement of Changes in Beneficial Ownership (4/a)
19 December 2018 - 9:24AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
COHEN DANIEL G
|
2. Issuer Name
and
Ticker or Trading Symbol
Fintech Acquisition Corp. III
[
FTAC
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Executive Officer
|
(Last)
(First)
(Middle)
C/O FINTECH ACQUISITION CORP. III, 2929 ARCH STREET, SUITE 1703
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/30/2018
|
(Street)
PHILADELPHIA, PA 19104
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
12/3/2018
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Class B Common Stock
|
(1)
|
11/30/2018
|
|
J
(2)
|
|
|
26667
|
(1)
|
(1)
|
Class A Common Stock
|
26667
|
$0.0028
|
1454404
(3)
|
I
|
By Cohen Sponsor Interests III, LLC
(4)
|
Class B Common Stock
|
(1)
|
11/30/2018
|
|
J
(2)
|
|
|
26667
|
(1)
|
(1)
|
Class A Common Stock
|
26667
|
$0.0028
|
1454404
(3)
|
I
|
By DGC Family FinTech Trust
(5)
|
Explanation of Responses:
|
(1)
|
The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.
|
(2)
|
Represents transfers of membership interests to new members of the issuer's sponsors at the original purchase price.
|
(3)
|
The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose.
|
(4)
|
These shares are held directly by the issuer's sponsors, FinTech Investor Holdings III, LLC, FinTech Masala Advisors, LLC and 3FIII, LLC, each of which is managed by the reporting person.
|
(5)
|
DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC, a member of each of the issuer's sponsors.
|
Remarks:
Amended to properly reflect the reporting person's proportionate interest in the shares disposed of by Cohen Sponsor Interests III, LLC and DGC Family FinTech Trust.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
COHEN DANIEL G
C/O FINTECH ACQUISITION CORP. III
2929 ARCH STREET, SUITE 1703
PHILADELPHIA, PA 19104
|
|
X
|
Chief Executive Officer
|
|
Signatures
|
/s/ Daniel G. Cohen
|
|
12/18/2018
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
FinTech Acquisition Corp... (NASDAQ:FTACU)
Historical Stock Chart
From Sep 2024 to Oct 2024
FinTech Acquisition Corp... (NASDAQ:FTACU)
Historical Stock Chart
From Oct 2023 to Oct 2024
Real-Time news about FinTech Acquisition Corporation III (NASDAQ): 0 recent articles
More Fintech Acquisition Corp. Iii News Articles