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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 | ||||||||
Warrants | $ 11.5 | 03/23/2021 | J(1) | 3,000,000 | 05/08/2021 | 12/29/2025 | Class A Common Stock ("Common Stock") | 3,000,000 | (1) | 0 | I | Live Oak Sponsor Partners, LLC (1) | |||
Warrants | $ 11.5 | 05/08/2021 | 12/29/2025 | Common Stock | 207,465 | 207,465 | I | RJH Management LLC (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HENDRIX RICHARD J C/O DANIMER SCIENTIFIC, INC. 140 INDUSTRIAL BOULEVARD BAINBRIDGE, GA 39817 |
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/s/ Richard J. Hendrix | 03/25/2021 | |
**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) | Represents the pro rata in kind distribution of all of the Warrants for the purchase of shares of Common Stock of the Issuer held by Live Oak Sponsor Partners, LLC (the "Sponsor"), without consideration, to its members. The Reporting Person is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the securities held by the Sponsor and therefore the Reporting Person may be deemed to beneficially own the securities held by the Sponsor. The Reporting Person disclaims any beneficial ownership of the reported securities owned by the Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. |
(2) | Represents the pro rata in kind distribution of all of the Warrants for the purchase of shares of Common Stock of the Issuer held by the Sponsor, without consideration, to its members. RJH Management LLC ("RJH Management") is a member of the Sponsor. The Reporting Person owns and controls RJH Management and is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the securities held by RJH Management and the Sponsor. Therefore, the Reporting Person may be deemed to beneficially own the securities held by RJH Management and the Sponsor. The Reporting Person disclaims any beneficial ownership of the reported securities owned by RJH Management and the Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. As the distributions of such Warrants for the purchase of shares of Common Stock constituted only a change in the form of the Reporting Person's indirect ownership without changing the Reporting Person's pecuniary interest in such securities, the Reporting Person was not required to report this distribution in accordance with the exemptions afforded by Rule 16a-13 of the Securities Exchange Act of 1934, as amended. |