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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class B Common Stock | $ 0 | 07/16/2021 | J(1) | 172,500 | (2) | (2) | Class A Common Stock | 172,500 | $ 0 | 2,697,500 | I | See Footnote (3) | |||
Class B Common Stock | $ 0 | 07/16/2021 | G(4) | 379,300 | (2) | (2) | Class A Common Stock | 379,300 | $ 0 | 2,318,200 | I | See Footnote (3) | |||
Class B Common Stock | $ 0 | 07/16/2021 | C(5) | 2,318,200 | (2) | (2) | Class A Common Stock | 2,318,200 | $ 0 | 0 | I | See Footnote (3) | |||
Class B Common Stock | $ 0 | 07/16/2021 | C(5) | 135,000 | (2) | (2) | Class A Common Stock | 135,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Charlton Kevin M. 950 MCCARTY STREET, BUILDING A HOUSTON, TX 77029 |
X |
/s/ Kevin Charlton | 07/20/2021 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Forfeiture of Class B Common Stock from stockholder in registrant to NewHold Industrial Technology Holdings LLC for no consideration |
(2) | As described in the registrant's registration statement on Form S-1 (File No. 333-239822) under the heading "Description of Securities - Founder Shares," the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date. |
(3) | The securities reported herein are directly held by NewHold Industrial Technology Holdings LLC. As of July 16, 2021, Kevin Charlton, Charles Goldman, and Marc Saointz were the managers of NewHold Industrial Technology Holdings LLC. The reporting person disclaims any pecuniary interest in the securities reported herein except to the extent of the reporting person's beneficial interest in NewHold Industrial Technology Holdings LLC. |
(4) | Gift to Public Benefit Company for no consideration. |
(5) | Conversion of Class B Common Stock to Class A Common Stock in connection with closing of registrant's initial business combination. |
(6) | The reporting person resigned from his position as manager of NewHold Industrial Technology Holdings LLC as of July 20, 2021. |