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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Combe Jorge
2. Issuer Name and Ticker or Trading Symbol

DD3 Acquisition Corp. [ DDMX ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      __ X __ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Chief Operating Officer
(Last)          (First)          (Middle)

C/O DD3 ACQUISITION CORP., PEDREGAL 24, COLONIA MOLINO DEL REY
3. Date of Earliest Transaction (MM/DD/YYYY)

10/16/2018
(Street)

MEXICO CITY, O5 11040
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Ordinary Shares   10/16/2018     P    225000   A   (1) 1662500   (2) I   See footnote   (3)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
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
Warrant   $11.5   10/16/2018     P      225000         (4)   (5) Ordinary Shares   225000     (1) 225000   I   See footnote   (3)

Explanation of Responses:
(1)  Simultaneously with the Issuer's initial public offering, DD3 Mex Acquisition Corp (the "Sponsor") acquired, at a price of $10.00 per unit, 225,000 units (the "Private Units") in a private placement for an aggregate purchase price of $2,250,000. Each Private Unit consists of one ordinary share and one warrant. This figure does not include an aggregate of up to 18,750 Private Units that the Sponsor has committed to purchase depending on the extent to which the underwriters' option to purchase additional units is exercised.
(2)  Includes an aggregate of up to 187,500 shares subject to forfeiture by the Sponsor depending on the extent to which the underwriters' option to purchase additional units is exercised.
(3)  The securities are held directly by the Sponsor and indirectly by Dr. Martin M. Werner and Jorge Combe, each of whom shares voting power with respect to the Sponsor. Each of Dr. Werner and Mr. Combe disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
(4)  The warrants will become exercisable on the later of 30 days after the completion of the Issuer's initial business combination or October 16, 2019.
(5)  The warrants expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Combe Jorge
C/O DD3 ACQUISITION CORP.
PEDREGAL 24, COLONIA MOLINO DEL REY
MEXICO CITY, O5 11040
X X Chief Operating Officer

Signatures
/s/ Alan I. Annex, Attorney-in-Fact 10/18/2018
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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.
DD3 Acquisition Corporat... (NASDAQ:DDMXU)
Historical Stock Chart
From May 2024 to Jun 2024 Click Here for more DD3 Acquisition Corporat... Charts.
DD3 Acquisition Corporat... (NASDAQ:DDMXU)
Historical Stock Chart
From Jun 2023 to Jun 2024 Click Here for more DD3 Acquisition Corporat... Charts.