Initial Statement of Beneficial Ownership (3)
May 14 2021 - 7:39PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Rosella Holdings Ltd |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/6/2021
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3. Issuer Name and Ticker or Trading Symbol
Lightning eMotors, Inc. [ZEV]
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(Last)
(First)
(Middle)
TRAFALGAR COURT, 3RD FLOOR,, WEST WING, LES BANQUES |
4. 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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(Street)
ST. PETER PORT GUERNSEY, X0 GY1 2JA
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock (3) | 11170687 (1)(2)(3) | D (4) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | These securities were acquired by Rosella Holdings Limited, a Guernsey limited company ("Rosella"), pursuant to the Business Combination Agreement among
Lightning Systems, Inc., a privately held Delaware corporation that now is a wholly owned subsidiary of the Issuer (previously known as GigCapital3, Inc.),
and Project Power Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of the Issuer. |
(2) | In connection with the Business Combination Agreement, 10,212,713 shares of the Issuer's Common Stock were issued to Rosella in exchange for Lightning Systems Common Stock received by Rosella upon the automatic conversion of pre-merger Lightning Systems preferred stock, 258,809 shares of the Issuer's Common Stock were issued to Rosella in exchange for Lightning Systems Common Stock received by Rosella upon the automatic conversion of pre-merger Lightning Systems preferred stock dividends, 283,311 shares of the Issuer's Common Stock were issued to Rosella in exchange for Lightning Systems Common Stock received by Rosella upon the automatic conversion of a pre-merger Lightning Systems convertible note and 415,854 shares of the Issuer's Common Stock were issued to Rosella in exchange for Lightning Systems Common Stock received by Rosella upon the exercise of Lighting Systems warrants pre-merger. |
(3) | Rosella may be deemed to have indirect beneficial ownership of securities held by Aravaipa Venture Fund, LLC. Rosella disclaims beneficial ownership of such securities. |
(4) | These securities are directly held by Rosella. The directors of Rosella are International Company Management Limited and Portman Welbeck Limited. Both International Company Management Limited and Portman Welbeck Limited disclaim beneficial ownership of such securities. |
Remarks: Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rosella Holdings Ltd TRAFALGAR COURT, 3RD FLOOR, WEST WING, LES BANQUES ST. PETER PORT GUERNSEY, X0 GY1 2JA |
| X |
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International Co Management Ltd TRAFALGAR COURT, 3RD FLOOR, WEST WING, LES BANQUES ST. PETER PORT GUERNSEY, X0 GY1 2JA |
| X |
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Portman Welbeck Ltd TRAFALGAR COURT, 3RD FLOOR, WEST WING, LES BANQUES ST. PETER PORT GUERNSEY, X0 GY1 2JA |
| X |
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Signatures
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/s/ Teresa Covington,Teresa Covington, attorney-in-fact on behalf of Rosella Holdings Ltd. | | 5/14/2021 |
**Signature of Reporting Person | Date |
/s/ Teresa Covington, Teresa Covington, attorney-in-fact on behalf of International Company Management Limited | | 5/14/2021 |
**Signature of Reporting Person | Date |
/s/ Teresa Covington, Teresa Covington, attorney-in-fact on behalf of Portman Welbeck Limited | | 5/14/2021 |
**Signature of Reporting Person | Date |
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