Statement of Changes in Beneficial Ownership (4)
December 07 2020 - 5:21PM
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
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3235-0287
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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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1. Name and Address of Reporting Person
*
Milton Trevor R. |
2. Issuer Name and Ticker or Trading Symbol
Nikola Corp
[
NKLA
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
P.O. BOX 51060 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/3/2020 |
(Street)
PHOENIX, AZ 85076
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/3/2020 | | J(1) | | 2744543 | D | $18.98 | 88899591 | I | By M&M Residual, LLC (2) |
Common Stock | 12/3/2020 | | X(3) | | 220125 | D | $10.4 | 88679466 | I | By M&M Residual, LLC (2) |
Common Stock | 12/3/2020 | | X(4) | | 278843 | D | $4.52 | 88400623 | I | By M&M Residual, LLC (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Explanation of Responses: |
(1) | The reported dispositions were made as consideration agreed to by the reporting person on March 13, 2020 in connection with previously negotiated transactions for the purchase of real estate. |
(2) | As manager of M&M Residual, LLC, Mr. Milton may be deemed to indirectly beneficially own shares held by such entity. |
(3) | The reported sales were made pursuant to the exercise of an option to purchase granted by the reporting person on May 25, 2020 in connection with transactions for the purchase of real estate. |
(4) | The reported sales were made pursuant to the exercise of an option to purchase granted by the reporting person on March 29, 2019 in connection with transactions for the purchase of real estate. |
Remarks: This Form 4 is filed jointly by Trevor R. Milton and M&M Residual, LLC. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Milton Trevor R. P.O. BOX 51060 PHOENIX, AZ 85076 |
| X |
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M&M Residual, LLC P.O. BOX 51060 PHOENIX, AZ 85076 |
| X |
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Signatures
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/s/ Trevor R. Milton | | 12/7/2020 |
**Signature of Reporting Person | Date |
M&M Residual, LLC
By: /s/ Trevor R. Milton
Name: Trevor R. Milton
Title: Manager | | 12/7/2020 |
**Signature of Reporting Person | Date |
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