Statement of Changes in Beneficial Ownership (4)
31 Marzo 2023 - 10:36PM
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).
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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
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HENNESSY DANIEL J |
2. Issuer Name and Ticker or Trading Symbol
Hennessy Capital Investment Corp. VI
[
HCVI
]
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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 EXECUTIVE OFFICER |
(Last)
(First)
(Middle)
C/O HENNESSY CAPITAL INVESTMENT CORP. VI, 3415 N. PINES WAY, SUITE 204 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/27/2023 |
(Street)
WILSON, WY 83014 |
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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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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 Common Stock | (1) | 3/27/2023 | | P | | 25000 | | (1) | (1) | Class A Common Stock | 25000 | $145 | 11239318 (2) | I (3) | See footnote. (3) |
Explanation of Responses: |
(1) | As described in the registrant's registration statement on Form S-1 (File No. 333-254062) under the heading "Description of Securities-Founder Shares," the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date. |
(2) | Adjusted to reflect the forfeiture of 135,682 shares of Class B common stock on November 17, 2021, upon the expiration of the underwriters' over-allotment option, which was partially exercised in connection with the registrant's initial public offering. |
(3) | These shares of Class B common stock are held by Hennessy Capital Partners VI LLC ("HCP"). Daniel J. Hennessy, the Chairman of the Board and Chief Executive Officer of the registrant, is the sole managing member of Hennessy Capital Group LLC, a co-managing member of HCP. Mr. Hennessy has shared voting and dispositive control over the shares held by HCP and may be deemed the beneficial owner of such shares. Mr. Hennessy disclaims beneficial ownership over any securities owned by HCP in which he does not have any pecuniary interest. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HENNESSY DANIEL J C/O HENNESSY CAPITAL INVESTMENT CORP. VI 3415 N. PINES WAY, SUITE 204 WILSON, WY 83014 | X | X | CHIEF EXECUTIVE OFFICER |
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Hennessy Capital Partners VI LLC 3415 N. PINES WAY, SUITE 204 WILSON, WY 83014 |
| X |
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Hennessy Capital Group LLC 3415 N. PINES WAY, SUITE 204 WILSON, WY 83014 |
| X |
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Signatures
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/s/ Daniel J. Hennessy | | 3/31/2023 |
**Signature of Reporting Person | Date |
/s/ Daniel J. Hennessy, the Managing Member of Hennessy Capital Group LLC | | 3/31/2023 |
**Signature of Reporting Person | Date |
/s/ Daniel J. Hennessy, the Managing Member of Hennessy Capital Group LLC, a Managing Member of Hennessy Capital Partners VI LLC | | 3/31/2023 |
**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. |
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