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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 | ||||||||
Stock Option | $ 3.28 | 12/29/2020 | A | 34,342 | (1) | 10/24/2024 | Class A Common Stock ("Common Stock") | 34,342 | (2) | 34,342 | D | ||||
Stock Option | $ 3.28 | 12/29/2020 | A | 71,249 | (1) | 06/30/2026 | Common Stock | 71,249 | (2) | 71,249 | D | ||||
Stock Option | $ 3.28 | 12/29/2020 | A | 607,660 | (1) | 06/30/2026 | Common Stock | 607,660 | (2) | 607,660 | D | ||||
Stock Option | $ 3.28 | 12/29/2020 | A | 192,318 | (1) | 12/18/2027 | Common Stock | 192,318 | (2) | 192,318 | D | ||||
Stock Option | $ 6.88 | 12/29/2020 | A | 91,580 | 09/01/2023 | 09/01/2030 | Common Stock | 91,580 | (2) | 91,580 | D | ||||
Stock Option | $ 24.2 | 12/29/2020 | A | 642,934 | (3) | 12/29/2030 | Common Stock | 642,934 | (4) | 642,934 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Smith Michael Eric C/O DANIMER SCIENTIFIC, INC. 140 INDUSTRIAL BOULEVARD BAINBRIDGE, GA 39817 |
Chief Operating Officer |
/s/ Michael Smith | 12/31/2020 | |
**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) | The options are fully vested and currently exercisable. |
(2) | Received pursuant to the Merger Agreement in exchange for stock options to purchase shares of MHG common stock. |
(3) | Options to purchase 214,311 shares of Common Stock will vest and become exercisable on or after December 29, 2021 if the closing price of a share of Common Stock equals or exceeds $14.00 for any twenty (20) trading dates within a thirty (30)-day trading period beginning on December 29, 2021, options to purchase 214,311 shares of Common Stock will vest and become exercisable on or after December 29, 2022 if the closing price of a share of Common Stock equals or exceeds $17.00 for any twenty (20) trading dates within a thirty (30)-day trading period beginning on December 29, 2021 and options to purchase 214,312 shares of Common Stock will vest and become exercisable on or after December 29, 2023 if the closing price of a share of Common Stock equals or exceeds $20.00 for any twenty (20) trading dates within a thirty (30)-day trading period beginning on December 29, 2021. |
(4) | Granted pursuant to the terms of the Merger Agreement and issued under the Plan. |