Statement of Ownership (sc 13g)
February 11 2019 - 4:37PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT
TO §240.13d-1(b), (c) AND (d) AND
AMENDMENTS THERETO FILED
PURSUANT TO §240.13d-2
(Amendment No. N/A)*
DD3
Acquisition Corp.
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(Name of Issuer)
|
Ordinary Shares
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(Title of Class of Securities)
|
G2692M103
|
(CUSIP Number)
|
December 31, 2018
|
(Date of Event Which Requires Filing of this Statement)
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Check the appropriate box to designate
the rule pursuant to which this Schedule is filed:
* 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 the disclosures provided in a prior cover
page.
The information required
in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities
Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject
to all other provisions of the Act (however, see the Notes).
CUSIP No.
G2692M103
|
13G
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Page
2
of 9 Pages
|
1.
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NAMES OF REPORTING PERSONS
DD3 Mex Acquisition Corp
|
2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)
x
(b)
¨
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
Mexico
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
|
5.
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SOLE VOTING POWER
0
|
6.
|
SHARED VOTING POWER
1,630,375
|
EACH
REPORTING
PERSON WITH
|
7.
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SOLE DISPOSITIVE POWER
0
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8.
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SHARED DISPOSITIVE POWER
1,630,375
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,630,375*
|
|
10.
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)
¨
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11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
22.4%*
|
12.
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
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* The securities are held directly by DD3
Mex Acquisition Corp (the "Sponsor") and indirectly by Dr. Martin M. Werner and Jorge Combe, each of whom shares voting
power with respect to the Sponsor. Certain of the Issuer's other officers and directors hold economic interests in the Sponsor
and pecuniary interests in certain of the securities held by the Sponsor. Each of Dr. Werner, Mr. Combe and such other officers
and directors disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
CUSIP No.
G2692M103
|
13G
|
Page
3
of 9 Pages
|
1.
|
NAMES OF REPORTING PERSONS
Dr. Martin M. Werner
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)
x
(b)
¨
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Mexico
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
|
5.
|
SOLE VOTING POWER
0
|
6.
|
SHARED VOTING POWER
1,630,375
|
EACH
REPORTING
PERSON WITH
|
7.
|
SOLE DISPOSITIVE POWER
0
|
8.
|
SHARED DISPOSITIVE POWER
1,630,375
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,630,375*
|
|
10.
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)
¨
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
22.4%*
|
12.
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
|
* 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. Certain
of the Issuer's other officers and directors hold economic interests in the Sponsor and pecuniary interests in certain of the securities
held by the Sponsor. Each of Dr. Werner, Mr. Combe and such other officers and directors disclaims beneficial ownership of such
securities except to the extent of his pecuniary interest therein.
CUSIP No.
G2692M103
|
13G
|
Page
4
of 9 Pages
|
1.
|
NAMES OF REPORTING PERSONS
Jorge Combe
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)
x
(b)
¨
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Mexico
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
|
5.
|
SOLE VOTING POWER
0
|
6.
|
SHARED VOTING POWER
1,630,375
|
EACH
REPORTING
PERSON WITH
|
7.
|
SOLE DISPOSITIVE POWER
0
|
8.
|
SHARED DISPOSITIVE POWER
1,630,375
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,630,375*
|
|
10.
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)
¨
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
22.4%*
|
12.
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
|
* 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. Certain
of the Issuer's other officers and directors hold economic interests in the Sponsor and pecuniary interests in certain of the securities
held by the Sponsor. Each of Dr. Werner, Mr. Combe and such other officers and directors disclaims beneficial ownership of such
securities except to the extent of his pecuniary interest therein.
CUSIP No.
G2692M103
|
13G
|
Page
5
of 9 Pages
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Item 1(a).
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Name of Issuer:
|
|
|
|
|
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DD3 Acquisition Corp. (the “Issuer”)
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Item 1(b).
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Address of Issuer’s Principal Executive Offices:
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Pedregal 24, 4th Floor, Colonia Molino del Rey, Del. Miguel Hidalgo, 11040 Mexico City, Mexico
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Item 2(a).
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Name of Person Filing:
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This statement is filed on behalf of each of the following persons (collectively, the “Reporting Persons”):
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|
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(i)
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DD3 Mex Acquisition Corp
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(ii)
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Dr. Martin M. Werner
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(iii)
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Jorge Combe
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Item 2(b).
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Address of Principal Business Office or, if None, Residence:
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The principal business address of each of the Reporting Persons is Pedregal 24, 4th Floor, Colonia Molino del Rey, Del. Miguel Hidalgo, 11040 Mexico City, Mexico
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Item 2(c).
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Citizenship:
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DD3 Mex Acquisition Corp is a company organized under the laws of Mexico and each of Dr. Martin M. Werner and Jorge Combe are citizens of Mexico.
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Item 2(d).
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Title of Class of Securities:
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Ordinary Shares
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Item 2(e).
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CUSIP Number:
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G2692M103
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CUSIP No.
G2692M103
|
13G
|
Page
6
of 9 Pages
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Item 3.
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If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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¨
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
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(b)
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¨
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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¨
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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¨
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Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
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(e)
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¨
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An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
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(f)
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¨
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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¨
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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(h)
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¨
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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¨
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);
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(j)
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¨
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A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
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(k)
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¨
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Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
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If
filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution:
____________________
Not Applicable.
CUSIP No.
G2692M103
|
13G
|
Page
7
of 9 Pages
|
Provide the following
information regarding the aggregate number and percentage of the class of securities of the Issuer identified in Item 1.
Disclosure for
each Reporting Person:
(a)
|
Amount beneficially owned:
|
|
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|
DD3 Mex Acquisition Corp – 1,630,375 shares
|
|
|
|
Martin M. Werner – 1,630,375 shares
|
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Jorge Combe – 1,630,375 shares
|
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(b)
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Percent of class:
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DD3 Mex Acquisition Corp – 22.4%
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Martin M. Werner – 22.4%
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Jorge Combe – 22.4%
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote:
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DD3 Mex Acquisition Corp – 0
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Martin M. Werner – 0
|
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Jorge Combe – 0
|
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(ii)
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Shared power to vote or to direct the vote:
|
|
|
|
DD3 Mex Acquisition Corp – 1,630,375 shares
|
|
|
|
Martin M. Werner – 1,630,375 shares
|
|
|
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Jorge Combe – 1,630,375 shares
|
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(iii)
|
Sole power to dispose or to direct the disposition of:
|
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DD3 Mex Acquisition Corp – 0
|
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Martin M. Werner – 0
|
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Jorge Combe – 0
|
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(iv)
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Shared power to dispose or to direct the disposition of:
|
|
|
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DD3 Mex Acquisition Corp – 1,630,375 shares
|
|
|
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Martin M. Werner – 1,630,375 shares
|
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Jorge Combe – 1,630,375 shares
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DD3 Mex Acquisition
Corp. holds 1,630,375 Ordinary Shares, which represents 22.4% of the total Ordinary Shares issued and outstanding as of November
23, 2018, based on an aggregate of 7,269,450 shares, outstanding as of September 30, 2018, as reported in the Report of the Issuer
on Form 10-Q that was filed with the Securities and Exchange Commission on November 26, 2018.
The securities described
above are held directly by DD3 Mex Acquisition Corp. and indirectly by Dr. Martin M. Werner, who is Chairman and Chief Executive
Officer of DD3 Acquisition Corp., and Jorge Combe, who is Chief Operating Officer of DD3 Acquisition Corp., and together share
voting power with respect to DD3 Mex Acquisition Corp. Both Mr. Werner and Mr. Combe disclaim beneficial ownership of such securities
except to the extent of their pecuniary interest therein.
CUSIP No.
G2692M103
|
13G
|
Page
8
of 9 Pages
|
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Item 5.
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Ownership of Five Percent or Less of a Class.
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If this statement is
being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than
five percent of the class of securities, check the following
¨
.
Not Applicable.
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Item 6.
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Ownership of More Than Five Percent on Behalf of Another
Person.
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Not Applicable.
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Item 7.
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Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
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Not Applicable.
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Item 8.
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Identification and Classification of Members of the
Group.
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See Exhibit
1.
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Item 9.
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Notice of Dissolution of Group.
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Not
Applicable.
Not Applicable.
CUSIP No.
G2692M103
|
13G
|
Page
9
of 9 Pages
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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.
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Date: February 11, 2019
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DD3 MEX ACQUISITION CORP
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By:
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/s/ Martin M. Werner
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Name: Martin M. Werner
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Title: Authorized Representative
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/s/ Martin M. Werner
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Name: Martin M. Werner
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/s/ Jorge Combe
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Name: Jorge Combe
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