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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HENNESSY DANIEL J C/O HENNESSY CAPITAL ACQUISITION CORP II 700 LOUSIANA STREET, SUITE 900 HOUSTON, TX 77002 |
X | X | Chief Executive Officer | |
Hennessy Capital Partners II LLC 700 LOUISIANA STREET, SUITE 900 HOUSTON, TX 77002 |
Sponsor | |||
Hennessy Capital LLC 10 SOUTH WACKER DRIVE SUITE 3175 CHICAGO, IL 60606 |
MGR of Hennessy Cap Partner II |
/s/ Daniel J. Hennessy | 08/06/2015 | |
**Signature of Reporting Person | Date | |
/s/ Daniel J. Hennessy Managing Member of Hennessy Capital Partners II LLC, as Managing Member of Hennessy Capital LLC | 08/06/2015 | |
**Signature of Reporting Person | Date | |
/s/ Daniel J. Hennessy Managing Member of Hennessy Capital LLC | 08/06/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | As contemplated in connection with the initial public offering of Hennessy Capital Acquisition Corp. II (the "Issuer"), 41,273 shares of common stock, par value $0.0001 per share, were returned to the Issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full. |
(2) | These shares represent common stock held by Hennessy Capital Partners II LLC ("HCP"), acquired pursuant to a subscription agreement dated as of April 29, 2015 by and among HCP and the Issuer. Daniel J. Hennessy, the Chairman and Chief Executive Officer of the Issuer, is the sole managing member of Hennessy Capital LLC, the sole managing member of HCP. Mr. Hennessy has sole voting and dispositive control over the shares held by HCP and may be deemed the beneficial owner of such shares. |
(3) | Mr. Hennessy disclaims beneficial ownership over any securities owned by HCP in which he does not have any pecuniary interest. |