Statement of Changes in Beneficial Ownership (4)
2023年3月14日 - 5:16AM
Edgar (US Regulatory)
FORM 4
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
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
*
Peridot Acquisition Sponsor II, LLC |
2. Issuer Name and Ticker or Trading Symbol
Peridot Acquisition Corp. II
[
PDOT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) __X__ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
C/O PERIDOT ACQUISITION CORP. II, 2229 SAN FELIPE STREET, SUITE 1450 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/13/2023 |
(Street)
HOUSTON, TX 77019
(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
_
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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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 Ordinary Shares | (1) | 3/13/2023 | | D (2)(3) | | | 10121368 (2)(3) | (1) | (1) | Class A Ordinary Shares | 10121368 | $0.00 (2)(3) | 0 | D (2)(3) | |
Class B Ordinary Shares | (1) | 3/13/2023 | | D (4) | | | 90000 (4) | (1) | (1) | Class A Ordinary Shares | 90000 | $0.00 (4) | 0 | D (4) | |
Explanation of Responses: |
(1) | The Class B ordinary shares ("Class B Shares") would have automatically converted into the Issuer's Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the subject holder, on a one-for-one basis, with no expiration date. |
(2) | In connection with the liquidation and dissolution of the Issuer, Peridot Acquisition Sponsor II, LLC ("Sponsor") surrendered to the Issuer, for no consideration, 10,121,368 Class B Shares directly held by Sponsor. CEC Aventurine Holdings, LLC ("Peridot Holdings") shares voting and/or dispositive control over the securities held by the Sponsor. Peridot Holdings is controlled by Carnelian Energy Capital III, L.P. ("Carnelian Fund III"), its sole member. Carnelian Fund III is controlled by its general partner, Carnelian Energy Capital GP III, L.P. ("Carnelian L.P.") and Carnelian L.P. is controlled by its general partner Carnelian Energy Capital Holdings, LLC ("Carnelian Holdings"). Messrs. Tomas Ackerman and Daniel Goodman are the controlling members of Carnelian Holdings. Accordingly, all of the shares held by the Sponsor may be deemed to be |
(3) | (Continued from footnote 2) beneficially held by Peridot Holdings, Carnelian Fund III, Carnelian L.P., Carnelian Holdings and Messrs. Ackerman and Goodman. Each such reporting person under this Form 4 disclaims beneficial ownership of the Class B Shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B Shares covered by this Form 4. |
(4) | In connection with the liquidation and dissolution of the Issuer, each of Alan Levande, June Yearwood and Scott Prochazka surrendered to the Issuer, for no consideration, 30,000 Class B Shares directly held by such reporting persons. |
Remarks: This "Exit" Form 4 is filed to report that, following the Issuer's dissolution on March 13, 2023, each of the Reporting Persons is no longer subject to Section 16 reporting. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Peridot Acquisition Sponsor II, LLC C/O PERIDOT ACQUISITION CORP. II 2229 SAN FELIPE STREET, SUITE 1450 HOUSTON, TX 77019 |
| X |
| See Remarks |
CEC AVENTURINE HOLDINGS, LLC 2229 SAN FELIPE STREET, SUITE 1450 HOUSTON, TX 77019 |
| X |
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CARNELIAN ENERGY CAPITAL III, L.P. 2229 SAN FELIPE STREET, SUITE 1450 HOUSTON, TX 77019 |
| X |
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CARNELIAN ENERGY CAPITAL GP III, L.P. 2229 SAN FELIPE STREET, SUITE 1450 HOUSTON, TX 77019 |
| X |
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CARNELIAN ENERGY CAPITAL HOLDINGS, LLC 2229 SAN FELIPE STREET, SUITE 1450 HOUSTON, TX 77019 |
| X |
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Ackerman Tomas C/O PERIDOT ACQUISITION CORP. II 2229 SAN FELIPE STREET, SUITE 1450 HOUSTON, TX 77019 | X | X |
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Goodman Daniel 2229 SAN FELIPE STREET, SUITE 1450 HOUSTON, TX 77019 |
| X |
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Levande Alan B C/O PERIDOT ACQUISITION CORP. II 2229 SAN FELIPE STREET, SUITE 1450 HOUSTON, TX 77019 | X |
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YEARWOOD JUNE C/O PERIDOT ACQUISITION CORP. II 2229 SAN FELIPE STREET, SUITE 1450 HOUSTON, TX 77019 | X |
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Prochazka Scott M C/O PERIDOT ACQUISITION CORP. II 2229 SAN FELIPE STREET, SUITE 1450 HOUSTON, TX 77019 | X |
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Signatures
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/s/ See signatures included in Exhibit 99.1 | | 3/13/2023 |
**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. |
Peridot Acquisition Corp... (NYSE:PDOT)
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