Statement of Changes in Beneficial Ownership (4)
August 03 2021 - 7:01PM
Edgar (US Regulatory)
FORM 4
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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
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Nebula Caravel Holdings LLC |
2. Issuer Name and Ticker or Trading Symbol
ROVER GROUP, INC.
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ROVR
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
FOUR EMBARCADERO CENTER,, SUITE 2100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/30/2021 |
(Street)
SAN FRANCISCO, CA 94111
(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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Class A Common Stock | 7/30/2021 | | C(1) | | 5799126 | A | (1) | 5799126 | I | See footnote (2) |
Class A Common Stock | 7/30/2021 | | A | | 8000000 | A | $10.00 | 13799126 | I | See footnote (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 |
Class B Common Stock | (1) | 7/30/2021 | | D (1) | | | 975874 | (1) | (1) | Class A Common Stock | 975874 | $0.00 | 5799126 | I | See Footnote (2) |
Class B Common Stock | (1) | 7/30/2021 | | C (1) | | | 5799126 | (1) | (1) | Class A Common Stock | 5799126 | $0.00 | 0 | I | See Footnote (2) |
Private Placement Warrants | $11.50 | 7/30/2021 | | A (3) | | 2574164 | | 12/11/2021 (3) | 7/30/2026 | Class A Common Stock | 2574164 | $1.50 | 2574164 | I | See Footnote (2) |
Explanation of Responses: |
(1) | On July 30, 2021, Nebula Caravel Acquisition Corp. consummated its business combination (the "Business Combination") with A Place for Rover, Inc.. Following consummation of the Business Combination, the issuer changed its legal name to Rover Group, Inc.(the "Issuer"). In connection with the consummation of the Business Combination, Nebula Caravel Holdings, LLC forfeited 975,874 shares of Class B common stock and the remaining shares of Class B common stock held by Nebula Caravel Holdings, LLC automatically converted into shares of Class A common stock on a one-for-one basis. |
(2) | Nebula Caravel Holdings, LLC is the record holder of the securities reported herein. True Wind Capital II, L.P. and True Wind Capital II-A, L.P. (collectively, "True Wind Capital II") are the managing members of Nebula Caravel Holdings, LLC. Mr. Greene and Mr. Clammer are the managing members of True Wind Capital GP II, LLC, the General Partner of True Wind Capital II. As such, they may be deemed to have or share beneficial ownership of the securities held directly by Nebula Caravel Holdings, LLC. Each such person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. |
(3) | Represents Private Placement Warrants acquired from the Issuer in connection with the Issuer's initial public offering, not including 2,592,503 warrants forfeited to the Issuer in connection with the Business Combination. Each warrant is exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. The warrants may be exercised commencing on the later of 12 months from the closing of the Issuer's initial public offering and 30 days after the completion of the Issuer's initial business and expire five years after consummation of the Business Combination or earlier upon redemption or liquidation. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Nebula Caravel Holdings LLC FOUR EMBARCADERO CENTER, SUITE 2100 SAN FRANCISCO, CA 94111 | X | X |
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True Wind Capital II, L.P. C/O NEBULA CARAVEL ACQUISITION CORP. FOUR EMBARCADERO CENTER, SUITE 2100 SAN FRANCISCO, CA 94111 | X | X |
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True Wind Capital II-A, L.P. C/O NEBULA CARAVEL ACQUISITION CORP. FOUR EMBARCADERO CENTER, SUITE 2100 SAN FRANCISCO, CA 94111 | X | X |
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True Wind Capital GP II, LLC C/O NEBULA CARAVEL ACQUISITION CORP. FOUR EMBARCADERO CENTER, SUITE 2100 SAN FRANCISCO, CA 94111 | X | X |
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CLAMMER ADAM FOUR EMBARCADERO CENTER, SUITE 2100 SAN FRANCISCO, CA 94111 | X | X |
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GREENE JAMES H JR FOUR EMBARCADERO CENTER, SUITE 2100 SAN FRANCISCO, CA 94111 | X | X |
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Signatures
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/s/ Adam H. Clammer, as managing member ("MM") of True Wind Capital GP II, LLC, the general partner of True Wind Capital II, L.P. and True Wind Capital II-A, L.P., MMs of Nebula Caravel Holdings, LLC | | 8/3/2021 |
**Signature of Reporting Person | Date |
/s/ Adam H. Clammer, as MM of True Wind Capital GP II, LLC, the general partner of True Wind Capital II, L.P. | | 8/3/2021 |
**Signature of Reporting Person | Date |
/s/ Adam H. Clammer, as MM of True Wind Capital GP II, LLC, the general partner of True Wind Capital II-A, L.P. | | 8/3/2021 |
**Signature of Reporting Person | Date |
/s/ Adam H. Clammer, as MM of True Wind Capital GP II, LLC | | 8/3/2021 |
**Signature of Reporting Person | Date |
/s/ Adam H. Clammer | | 8/3/2021 |
**Signature of Reporting Person | Date |
/s/ James H. Greene, Jr. | | 8/3/2021 |
**Signature of Reporting Person | Date |
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