Initial Statement of Beneficial Ownership (3)
2016年8月23日 - 7:25AM
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
Estimated average burden
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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
*
DEUTSCHE BANK AG
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/9/2016
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3. Issuer Name
and
Ticker or Trading Symbol
Terrapin 3 Acquisition Corp [TRTL]
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(Last)
(First)
(Middle)
TAUNUSANLAGE 12 D-60325
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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)
FRANKFURT AM MAIN, 2M 00000
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ 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)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Class A Common Stock
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1373971
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I
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See footnote
(1)
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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)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Class A Common Stock Purchase Warrant
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(2)
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(3)
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Class A Common Stock
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928350
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(4)
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I
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See footnote
(1)
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Explanation of Responses:
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(
1)
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The Reporting Person did not acquire additional shares of Common Stock since the filing of its Schedule 13G on February 16, 2016. The Reporting Person is filing this Form 3 solely due to the decrease in the number of shares of Common Stock outstanding after stockholders holding 11,336,888 shares of the Common Stock elected to have their shares redeemed. The ownership by the Reporting Person reflected in this Form 3 has been determined based on the 9,938,112 shares of Common Stock outstanding reflected in the Issuer's Form 10-Q filed on August 9, 2016.
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(
2)
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The Warrants are not currently exercisable. Each Warrant will become exercisable on the later of 30 days after the completion of the Issuer's "Business Combination" or 12 months from the closing of the "Public Offering", in each case as defined in the Issuer's Form 10-Q filed on August 9, 2016.
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(
3)
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The Warrants will expire five years after the completion of the Issuer's "Business Combination", as defined in the Issuer's Form 10-Q filed on August 9, 2016, or earlier upon redemption or liquidation.
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(
4)
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Each Warrant entitles the holder to purchase one-half of one share of Common Stock at an exercise price of $5.75 per half share.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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DEUTSCHE BANK AG
TAUNUSANLAGE 12 D-60325
FRANKFURT AM MAIN, 2M 00000
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X
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Signatures
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Daniela Pondeva
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8/22/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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Terrapin 3 Acquisition Corp. (NASDAQ:TRTL)
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から 1 2024 まで 1 2025
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