Form SC 13D/A - General statement of acquisition of beneficial ownership: [Amend]
February 14 2024 - 7:01PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
DC 20549
SCHEDULE
13D
THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 2)*
| Whole Earth Brands, Inc. |
| (Name of Issuer) |
| Common Stock, par value $0.0001 per share |
| (Title of Class of Securities) |
|
Keith Goodman
c/o Notch View Capital Management, LLC
360 NW 27th Street, 8th Floor
Miami, Florida 33127
Telephone Number: (212) 796-4954 |
|
(Name, Address and Telephone Number of Person Authorized
to Receive
Notices and Communications) |
| February 13, 2024 |
| (Date of Event Which Requires Filing of this Statement) |
| If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [X]. |
__________
| * | The remainder of this cover page shall be filled out for a reporting person's initial filing on this form
with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures
provided in a prior cover page. |
| 1. |
NAME OF REPORTING PERSONS |
|
| |
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
|
| |
|
|
| |
Notch View Capital Management, LLC |
|
| 2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) |
[_] |
| |
|
(b) |
[_] |
| 5. |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
[_] |
| 6. |
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
| |
|
|
| |
Delaware |
|
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| 9. |
SOLE DISPOSITIVE POWER |
| |
|
|
| |
0 |
|
| 10. |
SHARED DISPOSITIVE POWER |
|
| |
|
|
| |
0 |
|
| 11. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
| |
|
|
| |
0 |
|
| 12. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |
[_] |
| 13. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
| |
|
|
| |
0% |
|
| 14. |
TYPE OF REPORTING PERSON |
|
| |
|
|
| |
IA, OO |
|
| 1. |
NAME OF REPORTING PERSONS |
|
| |
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
|
| |
|
|
| |
Notch View Capital, LP |
|
| 2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) |
[_] |
| |
|
(b) |
[_] |
| 5. |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
[_] |
| 6. |
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
| |
|
|
| |
Delaware |
|
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| 9. |
SOLE DISPOSITIVE POWER |
| |
|
|
| |
0 |
|
| 10. |
SHARED DISPOSITIVE POWER |
|
| |
|
|
| |
0 |
|
| 11. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
| |
|
|
| |
0 |
|
| 12. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |
[_] |
| 13. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
| |
|
|
| |
0% |
|
| 14. |
TYPE OF REPORTING PERSON |
|
| |
|
|
| |
PN |
|
| 1. |
NAME OF REPORTING PERSONS |
|
| |
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
|
| |
|
|
| |
Notch View Capital Long Only, LP |
|
| 2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) |
[_] |
| |
|
(b) |
[_] |
| 5. |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
[_] |
| 6. |
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
| |
|
|
| |
Delaware |
|
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| 9. |
SOLE DISPOSITIVE POWER |
| |
|
|
| |
0 |
|
| 10. |
SHARED DISPOSITIVE POWER |
|
| |
|
|
| |
0 |
|
| 11. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
| |
|
|
| |
0 |
|
| 12. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |
[_] |
| 13. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
| |
|
|
| |
0% |
|
| 14. |
TYPE OF REPORTING PERSON |
|
| |
|
|
| |
PN |
|
| 1. |
NAME OF REPORTING PERSONS |
|
| |
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
|
| |
|
|
| |
Notch View Capital GP, LLC |
|
| 2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) |
[_] |
| |
|
(b) |
[_] |
| 5. |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
[_] |
| 6. |
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
| |
|
|
| |
Delaware |
|
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| 9. |
SOLE DISPOSITIVE POWER |
| |
|
|
| |
0 |
|
| 10. |
SHARED DISPOSITIVE POWER |
|
| |
|
|
| |
0 |
|
| 11. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
| |
|
|
| |
0 |
|
| 12. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |
[_] |
| 13. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
| |
|
|
| |
0% |
|
| 14. |
TYPE OF REPORTING PERSON |
|
| |
|
|
| |
OO |
|
| 1. |
NAME OF REPORTING PERSONS |
|
| |
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
|
| |
|
|
| |
Keith Goodman |
|
| 2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) |
[_] |
| |
|
(b) |
[_] |
| 5. |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
[_] |
| 6. |
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
| |
|
|
| |
United States of America |
|
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| 9. |
SOLE DISPOSITIVE POWER |
| |
|
|
| |
0 |
|
| 10. |
SHARED DISPOSITIVE POWER |
|
| |
|
|
| |
0 |
|
| 11. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
| |
|
|
| |
0 |
|
| 12. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |
[_] |
| 13. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
| |
|
|
| |
0% |
|
| 14. |
TYPE OF REPORTING PERSON |
|
| |
|
|
| |
HC, IN |
|
| Item 1. |
Security and Issuer. |
|
| |
The name of the issuer is Whole Earth Brands, Inc., a Delaware corporation (the "Issuer"). The address of the Issuer's principal executive offices is 125 S. Wacker Drive, Suite 1250, Chicago, Illinois 60606. This Schedule 13D amendment relates to the Issuer's Common Stock, par value $0.0001 per share (the "Shares"). |
|
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| Item 2. |
Identity and Background. |
|
| |
(a), (f) |
This Schedule 13D amendment is being filed jointly by Notch View Capital Management, LLC, a Delaware limited liability company (“Notch View”), Notch View Capital, LP, a Delaware limited partnership (“Capital”), Notch View Capital Long Only, LP, a Delaware limited partnership (“Long Only”), Notch View Capital GP, LLC, a Delaware limited liability company (the “GP”), and Keith Goodman (“Goodman”), a United States citizen (collectively, the "Reporting Persons"). |
|
| |
|
|
|
| |
(b) |
The principal business address for each of the Reporting Persons is 360 NW 27th Street, 8th Floor, Miami, Florida 33127. |
|
| |
|
|
|
| |
(c) |
Goodman is the managing member of Notch View. The principal business of Notch View is serving as an investment adviser to its clients. The principal business of the GP is serving as the general partner to certain private funds. Notch View is the investment manager to Capital and Long Only and the GP is the general partner of Capital and Long Only. The principal business of Capital and Long Only is purchasing, holding and selling securities for investment purposes. |
|
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|
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|
| |
(d), (e) |
During the last five years, none of the Reporting Persons has been (a) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (b) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. The Reporting Persons disclaim membership in a group. |
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| Item 3. |
Source and Amount of Funds or Other Consideration. |
|
| |
|
|
| |
The funds for the purchase of the Shares previously owned by the Reporting Persons came from the working capital of Capital and Long Only, over which the Reporting Persons, through their roles described above in Item 2(c), exercised investment discretion. No borrowed funds were used to purchase the Shares, other than borrowed funds used for working capital purposes in the ordinary course of business. |
|
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|
|
| Item 4. |
Purpose of Transaction. |
|
| |
|
|
| |
This Schedule 13D amendment is being made to report
that the Reporting Persons no longer beneficially own any Shares.
|
|
| |
|
|
| Item 5. |
Interest in Securities of the Issuer. |
|
| |
|
|
| |
(a) - (e) |
Notch View:
As of the date hereof, Notch View may be deemed to
be the beneficial owner of 0 Shares, constituting 0% of the Shares.
Notch View has the sole power to vote or direct the
vote of 0 Shares; has the shared power to vote or direct the vote of 0 Shares; has the sole power to dispose or direct the disposition
of 0 Shares; and has the shared power to dispose or direct the disposition of 0 Shares.
Capital:
As of the date hereof, Capital may be deemed to be
the beneficial owner of 0 Shares, constituting 0% of the Shares.
Capital has the sole power to vote or direct the vote
of 0 Shares; has the shared power to vote or direct the vote of 0 Shares; has the sole power to dispose or direct the disposition of 0
Shares; and has the shared power to dispose or direct the disposition of 0 Shares.
Long Only:
As of the date hereof, Long Only may be deemed to
be the beneficial owner of 0 Shares, constituting 0% of the Shares.
Long Only has the sole power to vote or direct the
vote of 0 Shares; has the shared power to vote or direct the vote of 0 Shares; has the sole power to dispose or direct the disposition
of 0 Shares; and has the shared power to dispose or direct the disposition of 0 Shares.
GP:
As of the date hereof, the GP may be deemed to be
the beneficial owner of 0 Shares, constituting 0% of the Shares.
The GP has the sole power to vote or direct the vote
of 0 Shares; has the shared power to vote or direct the vote of 0 Shares; has the sole power to dispose or direct the disposition of 0
Shares; and has the shared power to dispose or direct the disposition of 0 Shares.
Goodman:
As of the date hereof, Goodman may be deemed to be
the beneficial owner of 0 Shares, constituting 0% of the Shares.
Goodman has the sole power to vote or direct the vote
of 0 Shares; has the shared power to vote or direct the vote of 0 Shares; has the sole power to dispose or direct the disposition of 0
Shares; and has the shared power to dispose or direct the disposition of 0 Shares.
The transactions by the Reporting Persons in the Shares
during the past sixty days are set forth in Exhibit B. |
|
| |
|
|
|
| Item 6. |
Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. |
|
| |
|
|
| |
Not applicable. |
|
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|
|
| Item 7. |
Material to be Filed as Exhibits. |
|
| |
Exhibit A: Joint Filing Agreement
Exhibit B: Schedule of Transactions in Shares |
| |
|
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge
and belief, I certify that the information set forth in this statement is true, complete and correct.
| |
Notch View Capital Management, LLC * |
| |
|
|
| |
By: |
/s/ Keith Goodman |
| |
|
Name: Keith Goodman |
| |
|
Title: Managing Member |
| |
|
|
| |
|
|
| |
Notch View Capital, LP* |
| |
|
|
| |
By: |
/s/ Keith Goodman |
| |
|
Name: Keith Goodman |
| |
|
Title: Managing Member
|
| |
Notch View Capital Long Only, LP* |
| |
|
|
| |
By: |
/s/ Keith Goodman |
| |
|
Name: Keith Goodman |
| |
|
Title: Managing Member |
| |
|
|
| |
|
|
| |
Keith Goodman* |
| |
|
|
| |
By: |
/s/ Keith Goodman |
| |
|
|
| |
|
|
| |
Notch View Capital GP, LLC* |
| |
|
|
| |
By: |
/s/ Keith Goodman |
| |
|
Name: Keith Goodman |
| |
|
Title: Managing Member |
| |
|
|
* This reporting person disclaims beneficial ownership
of these reported securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission
that any such person is the beneficial owner of these securities for purposes of Section 16 of the U.S. Securities Exchange Act of 1934,
as amended, or for any other purpose.
Attention: Intentional misstatements or omissions
of fact constitute Federal criminal violations (see 18 U.S.C. 10001).
Exhibit A
AGREEMENT
The undersigned agree that this
Schedule 13D amendment, dated February 14, 2024, relating to the Common Stock, par value $0.0001 per share, of Whole Earth Brands, Inc.
shall be filed on behalf of the undersigned.
| |
Notch View Capital Management, LLC |
| |
|
|
| |
By: |
/s/ Keith Goodman |
| |
|
Name: Keith Goodman |
| |
|
Title: Managing Member |
| |
|
|
| |
|
|
| |
Notch View Capital, LP |
| |
|
|
| |
By: |
/s/ Keith Goodman |
| |
|
Name: Keith Goodman |
| |
|
Title: Managing Member
|
| |
Notch View Capital Long Only, LP |
| |
|
|
| |
By: |
/s/ Keith Goodman |
| |
|
Name: Keith Goodman |
| |
|
Title: Managing Member |
| |
|
|
| |
|
|
| |
Keith Goodman |
| |
|
|
| |
By: |
/s/ Keith Goodman |
| |
|
|
| |
|
|
| |
Notch View Capital GP, LLC |
| |
|
|
| |
By: |
/s/ Keith Goodman |
| |
|
Name: Keith Goodman |
| |
|
Title: Managing Member |
| |
|
|
Exhibit B
Schedule of Transactions in Shares
| Date of Transaction |
Title of Class |
Number of Shares Acquired |
Number of Shares Disposed |
Price Per
Share |
| |
|
|
|
|
| 12/22/2023 |
Common Stock, par value $0.0001 per share |
|
9,500 |
$3.46 |
| 12/26/2023 |
Common Stock, par value $0.0001 per share |
|
40,000 |
$3.46 |
| 2/13/2024 |
Common Stock, par value $0.0001 per share |
|
1,300,000 |
$4.76 |
| 2/14/2024 |
Common Stock, par value $0.0001 per share |
|
1,210,898 |
$4.75 |
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