Filing Details
- Accession Number:
- 0000908834-24-000037
- Form Type:
- 13G Filing
- Publication Date:
- 2024-02-04 19:00:00
- Filed By:
- Farallon Capital Partners, L.p.
- Company:
- Aleanna Inc.
- Filing Date:
- 2024-02-05
- SEC Url:
- 13G Filing
Ownership Summary
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
Farallon Capital Partners | 0 | 44,100 | 0 | 44,100 | 44,100 | 0.8% |
Farallon Capital Institutional Partners | 0 | 65,730 | 0 | 65,730 | 65,730 | 1.2% |
Farallon Capital Institutional Partners II | 0 | 15,060 | 0 | 15,060 | 15,060 | 0.3% |
Farallon Capital Institutional Partners III | 0 | 8,700 | 0 | 8,700 | 8,700 | 0.2% |
Four Crossings Institutional Partners V | 0 | 10,620 | 0 | 10,620 | 10,620 | 0.2% |
Farallon Capital Offshore Investors II | 0 | 130,800 | 0 | 130,800 | 130,800 | 2.3% |
Farallon Capital F5 Master I | 0 | 20,760 | 0 | 20,760 | 20,760 | 0.4% |
Farallon Capital (AM) Investors | 0 | 4,230 | 0 | 4,230 | 4,230 | 0.1% |
Farallon Partners | 0 | 279,240 | 0 | 279,240 | 279,240 | 5.0% |
Farallon Capital Management | 0 | 225,000 | 0 | 225,000 | 225,000 | 3.8% |
Farallon Institutional (GP) V | 0 | 10,620 | 0 | 10,620 | 10,620 | 0.2% |
Farallon F5 (GP) | 0 | 20,760 | 0 | 20,760 | 20,760 | 0.4% |
Joshua J. Dapice | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Philip D. Dreyfuss | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Hannah E. Dunn | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Michael B. Fisch See Item | 0 | 0 | 0 | 0 | 0 | 0.0% |
Richard B. Fried | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Varun N. Gehani | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Nicolas Giauque | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
David T. Kim | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Michael G. Linn | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Rajiv A. Patel | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Thomas G. Roberts, Jr | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Edric C. Saito | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
William Seybold | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Daniel S. Short | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Andrew J. M. Spokes | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
John R. Warren | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Mark C. Wehrly | 0 | 525,000 | 0 | 525,000 | 525,000 | 9.0% |
Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 3) *
Swiftmerge Acquisition Corp. |
(Name of Issuer) |
Class A ordinary shares, Par Value $0.0001 per share |
(Title of Class of Securities) |
G63836103 |
(Cusip Number) |
December 31, 2023 |
(Date of Event which Requires Filing of this Statement) |
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ | Rule 13d-1(b) | |
☒ | Rule 13d-1(c) | |
☐ | Rule 13d-1(d) |
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form
with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the
liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
(Continued on following pages)
Page 1 of 35 Pages
Exhibit Index Found on Page 34
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Farallon Capital Partners, L.P. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION California | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 44,100 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 44,100 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 44,100 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.8% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) PN |
Page 2 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Farallon Capital Institutional Partners, L.P. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION California | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 65,730 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 65,730 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 65,730 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.2% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) PN |
Page 3 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Farallon Capital Institutional Partners II, L.P. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION California | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 15,060 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 15,060 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,060 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.3% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) PN |
Page 4 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Farallon Capital Institutional Partners III, L.P. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 8,700 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 8,700 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,700 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) PN |
Page 5 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Four Crossings Institutional Partners V, L.P. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 10,620 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 10,620 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,620 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) PN |
Page 6 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Farallon Capital Offshore Investors II, L.P. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 130,800 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 130,800 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 130,800 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.3% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) PN |
Page 7 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Farallon Capital F5 Master I, L.P. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 20,760 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 20,760 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,760 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.4% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) PN |
Page 8 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Farallon Capital (AM) Investors, L.P. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 4,230 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 4,230 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,230 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.1% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) PN |
Page 9 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Farallon Partners, L.L.C. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 279,240 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 279,240 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 279,240 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.0% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) OO |
Page 10 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Farallon Capital Management, L.L.C. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 225,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 225,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 225,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.8%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) OO |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 11 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Farallon Institutional (GP) V, L.L.C. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 10,620 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 10,620 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,620 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) OO |
Page 12 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Farallon F5 (GP), L.L.C. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 20,760 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 20,760 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,760 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.4% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) OO |
Page 13 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Joshua J. Dapice | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 14 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Philip D. Dreyfuss | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 15 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Hannah E. Dunn | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 16 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Michael B. Fisch [See Item 2] | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER -0- | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER -0- | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
Page 17 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Richard B. Fried | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 18 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Varun N. Gehani | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 19 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Nicolas Giauque | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION France | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 20 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS David T. Kim | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 21 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Michael G. Linn | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 22 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Rajiv A. Patel | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 23 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Thomas G. Roberts, Jr. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 24 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Edric C. Saito | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 25 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS William Seybold | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 26 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Daniel S. Short | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 27 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Andrew J. M. Spokes | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 28 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS John R. Warren | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 29 of 35 Pages
13G
CUSIP No. G63836103 |
1 | NAMES OF REPORTING PERSONS Mark C. Wehrly | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 300,000 Shares (as defined in Item 2) and hold Class B Ordinary Shares (as defined in the Preliminary Note) convertible into up to an aggregate of
225,000 Shares. Accordingly, as of the date of this filing the aggregate Shares and Class B Ordinary Shares held by the reporting persons represent beneficial ownership of 9.0% of the class of Shares. The reporting person on this cover
page, however, is a beneficial owner only of the securities reported by it on this cover page. | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER -0- | |
6 | SHARED VOTING POWER 525,0001 | ||
7 | SOLE DISPOSITIVE POWER -0- | ||
8 | SHARED DISPOSITIVE POWER 525,0001 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 525,0001 | ||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.0%1 | ||
12 | TYPE OF REPORTING PERSON (See Instructions) IN |
1 Includes beneficial ownership of 225,000 Shares issuable upon the conversion of Class B Ordinary Shares. See Preliminary Note and Item 2.
Page 30 of 35 Pages
This Amendment No. 3 to Schedule 13G amends and restates in its entirety the Schedule 13G initially filed on December 27, 2021 (together with all prior and current amendments thereto, this “Schedule
13G”).
Preliminary Note:
As of the date hereof, the Farallon Funds hold an aggregate of 300,000 Shares. Also as of the date hereof, an investment vehicle (the “SPV”) that is managed
by the Management Company holds 225,000 Class B ordinary shares of the Company (“Class B Ordinary Shares”), each of which is convertible at the holder’s option into one Share. Accordingly, as of the date hereof, the Management Company may be
deemed a beneficial owner of 225,000 Shares.
Capitalized terms used in this Preliminary Note without definitions have the meanings ascribed to them below.
Item 1. | Issuer |
(a) | Name of Issuer: |
Swiftmerge Acquisition Corp. (the “Company”)
(b) | Address of Issuer’s Principal Executive Offices: |
4318 Forman Ave
Toluca Lake, CA 91602
Item 2. | Identity and Background |
Title of Class of Securities and CUSIP Number (Items 2(d) and (e))
This statement relates to Class A ordinary shares, par value $0.0001 per share (the “Shares”), of the Company. The
CUSIP number for the Shares is G63836103.
Name of Persons Filing, Address of Principal Business Office and Citizenship (Items 2(a), (b) and (c))
This statement is filed by the entities and persons listed below, all of whom together are referred to herein as the “Reporting Persons”.
The Farallon Funds
(i) | Farallon Capital Partners, L.P., a California limited partnership (“FCP”), with respect to the Shares held by it; |
(ii) | Farallon Capital Institutional Partners, L.P., a California limited partnership (“FCIP”), with respect to the Shares held by it; |
(iii) | Farallon Capital Institutional Partners II, L.P., a California limited partnership (“FCIP II”), with respect to the Shares held by it; |
(iv) | Farallon Capital Institutional Partners III, L.P., a Delaware limited partnership (“FCIP III”), with respect to the Shares held by it; |
(v) | Four Crossings Institutional Partners V, L.P., a Delaware limited partnership (“FCIP V”), with respect to the Shares held by it; |
(vi) | Farallon Capital Offshore Investors II, L.P., a Cayman Islands exempted limited partnership (“FCOI II”), with respect to the Shares held by it; |
(vii) | Farallon Capital F5 Master I, L.P., a Cayman Islands exempted limited partnership (“F5MI”), with respect to the Shares held by it; and |
(viii) | Farallon Capital (AM) Investors, L.P., a Delaware limited partnership (“FCAMI”), with respect to the Shares held by it. |
FCP, FCIP, FCIP II, FCIP III, FCIP V, FCOI II, F5MI and FCAMI are together referred to herein as the “Farallon Funds.”
The Management Company
(ix) | Farallon Capital Management, L.L.C., a Delaware limited liability company (the “Management Company”), which is the manager of the SPV, with respect to the Shares
acquirable by the SPV upon the conversion of the Class B Ordinary Shares it holds. |
The Farallon General Partner
(x) | Farallon Partners, L.L.C., a Delaware limited liability company (the “Farallon General Partner”), which is (i) the general partner of each of FCP, FCIP, FCIP II, FCIP III,
FCOI II and FCAMI, and (ii) the sole member of the FCIP V General Partner (as defined below), with respect to the Shares held by each of the Farallon Funds other than F5MI. |
The FCIP V General Partner
(xi) | Farallon Institutional (GP) V, L.L.C., a Delaware limited liability company (the “FCIP V General Partner”), which is the general partner of FCIP V, with respect to the Shares held by
FCIP V. |
The F5MI General Partner
(xii) | Farallon F5 (GP), L.L.C., a Delaware limited liability company (the “F5MI General Partner”), which is the general partner of F5MI, with respect to the Shares held by F5MI. |
The Farallon Individual Reporting Persons
(xiii) | The following persons, each of whom is a managing member or senior managing member, as the case may be, of the Management Company and the Farallon General Partner, and a
manager or senior manager, as the case may be, of the FCIP V General Partner and the F5MI General Partner, with respect to the Shares held by the Farallon Funds: Joshua J. Dapice (“Dapice”); Philip D. Dreyfuss (“Dreyfuss”);
Hannah E. Dunn (“Dunn”); Richard B. Fried (“Fried”); Varun N. Gehani (“Gehani”); Nicolas Giauque (“Giauque”); David T. Kim (“Kim”); Michael G. Linn (“Linn”); Rajiv A. Patel (“Patel”); Thomas
G. Roberts, Jr. (“Roberts”); Edric C. Saito (“Saito”); William Seybold (“Seybold”); Daniel S. Short (“Short”); Andrew J. M. Spokes (“Spokes”); John R. Warren (“Warren”); and Mark C.
Wehrly (“Wehrly”). |
Dapice, Dreyfuss, Dunn, Fried, Gehani, Giauque, Kim, Linn, Patel, Roberts, Saito, Seybold, Short, Spokes, Warren and Wehrly are together referred to herein as the “Farallon
Individual Reporting Persons.”
This Schedule 13G reports that effective June 30, 2023, Michael B. Fisch (“Fisch”) resigned as a member of the Management Company, a member of the Farallon General Partner, a
manager of the FCIP V General Partner and a manager of the F5MI General Partner. Accordingly, as of that date, Fisch no longer may be deemed a beneficial owner of any shares of Class B Common Stock held by the SPV or any Shares held by the Farallon
Funds. Unless the context otherwise requires, any reference herein to the “Farallon Individual Reporting Persons” shall not include Fisch.
The citizenship of each of the Farallon Funds, the Management Company, the Farallon General Partner, the FCIP V General Partner and the F5MI General Partner is set
forth above. Each of Fisch and the Farallon Individual Reporting Persons, other than Giauque and Spokes, is a citizen of the United States. Giauque is a citizen of France. Spokes is a citizen of the United Kingdom. The address of the principal
business office of each of the Reporting Persons is c/o Farallon Capital Management, L.L.C., One Maritime Plaza, Suite 2100, San Francisco, California 94111.
Page 31 of 35 Pages
Item 3. | If This Statement Is Filed Pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), Check Whether the Person Filing Is an Entity Specified in (a) - (k): |
Not applicable.
Item 4. | Ownership |
The information required by Items 4(a) – (c) and set forth in Rows 5 through 11 of the cover page for each Reporting Person is incorporated herein by reference for
each such Reporting Person.
The Shares reported hereby for the respective Farallon Funds are held directly by the respective Farallon Funds. The Management Company, as the manager of the SPV,
may be deemed to be a beneficial owner of the Shares acquirable by the SPV upon the conversion of the Class B Ordinary Shares it holds. The Farallon General Partner, as the general partner of each of FCP, FCIP, FCIP II, FCIP III, FCOI II and FCAMI,
and as the sole member of the FCIP V General Partner, may be deemed to be a beneficial owner of such Shares held by the Farallon Funds other than F5MI. The FCIP V General Partner, as the general partner of FCIP V, may be deemed to be a beneficial
owner of such Shares held by FCIP V. The F5MI General Partner, as the general partner of F5MI, may be deemed to be a beneficial owner of such Shares held by F5MI. Each of the Farallon Individual Reporting
Persons, as a managing member or senior managing member, as the case may be, of the Management Company and the Farallon General Partner, and as a manager or senior manager, as the case may be, of the FCIP V General Partner and the F5MI General
Partner, in each case with the power to exercise investment discretion, may be deemed to be a beneficial owner of such Shares held by the Farallon Funds and acquirable by the SPV. Each of the Management Company, the
Farallon General Partner, the FCIP V General Partner, the F5MI General Partner and the Farallon Individual Reporting Persons hereby disclaims any beneficial ownership of any such Shares.
Item 5. | Ownership of Five Percent or Less of a Class |
If this statement is being filed to report the fact that as of the date hereof each of the Reporting Persons has ceased to be a beneficial owner of more than five
percent of the class of securities, check the following:
Item 6. | Ownership of More than Five Percent on Behalf of Another Person |
Not applicable.
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person |
Not applicable.
Item 8. | Identification and Classification of Members of the Group |
The Reporting Persons are filing this Schedule 13G pursuant to Section 240.13d-1(c). Consistent with Item 2 of the cover page for each Reporting Person above, the
Reporting Persons neither disclaim nor affirm the existence of a group among them.
Item 9. | Notice of Dissolution of Group |
Not applicable.
Item 10. | Certification |
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or
with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in
connection with a nomination under §240.14a-11.
Page 32 of 35 Pages
SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and
correct.
Dated: February 5, 2024
/s/ Hannah E. Dunn | |
FARALLON CAPITAL MANAGEMENT, L.L.C., | |
By: Hannah E. Dunn, Managing Member | |
/s/ Hannah E. Dunn | |
FARALLON PARTNERS, L.L.C., | |
On its own behalf and | |
As the General Partner of | |
FARALLON CAPITAL PARTNERS, L.P., | |
FARALLON CAPITAL INSTITUTIONAL PARTNERS, L.P., | |
FARALLON CAPITAL INSTITUTIONAL PARTNERS II, L.P., | |
FARALLON CAPITAL INSTITUTIONAL PARTNERS III, L.P., | |
FARALLON CAPITAL OFFSHORE INVESTORS II, L.P., and | |
FARALLON CAPITAL (AM) INVESTORS, L.P. | |
By: Hannah E. Dunn, Managing Member | |
/s/ Hannah E. Dunn | |
FARALLON INSTITUTIONAL (GP) V, L.L.C., | |
On its own behalf and | |
As the General Partner of | |
FOUR CROSSINGS INSTITUTIONAL PARTNERS V, L.P. | |
By: Hannah E. Dunn, Manager | |
/s/ Hannah E. Dunn | |
FARALLON F5 (GP), L.L.C., | |
On its own behalf and | |
As the General Partner of | |
FARALLON CAPITAL F5 MASTER I, L.P. | |
By: Hannah E. Dunn, Manager | |
/s/ Hannah E. Dunn | |
Hannah E. Dunn, individually and as attorney-in-fact for each of Joshua J. Dapice, Philip D. Dreyfuss, Michael B. Fisch, Richard B. Fried, Varun N. Gehani, Nicolas Giauque, David T. Kim,
Michael G. Linn, Rajiv A. Patel, Thomas G. Roberts, Jr., Edric C. Saito, William Seybold, Daniel S. Short, Andrew J. M. Spokes, John R. Warren and Mark C. Wehrly |
The Powers of Attorney executed by each of Dapice, Dreyfuss, Fisch, Fried, Gehani, Giauque, Kim, Linn, Patel, Roberts, Saito, Seybold, Short, Spokes, Warren and Wehrly authorizing Dunn to sign and file
this Schedule 13G on his behalf, which were filed as exhibits to the Schedule 13G filed with the Securities and Exchange Commission on January 31, 2023 by such Reporting Persons with respect to the Class A Ordinary Shares of ARYA Sciences Acquisition
Corp IV, are hereby incorporated by reference.
Page 33 of 35 Pages
EXHIBIT INDEX
EXHIBIT 1 | Joint Acquisition Statement Pursuant to Section 240.13d-1(k) |
Page 34 of 35 Pages
EXHIBIT 1
to
SCHEDULE 13G
JOINT ACQUISITION STATEMENT
PURSUANT TO SECTION 240.13d-1(k)
The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments
to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint acquisition statements. The undersigned acknowledge that each shall be responsible for the timely filing of such
amendments, and for the completeness and accuracy of the information concerning him, her or it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the other entities or persons, except to
the extent that he, she or it knows or has reason to believe that such information is inaccurate.
Dated: February 5, 2024
/s/ Hannah E. Dunn | |
FARALLON CAPITAL MANAGEMENT, L.L.C., | |
By: Hannah E. Dunn, Managing Member | |
/s/ Hannah E. Dunn | |
FARALLON PARTNERS, L.L.C., | |
On its own behalf and | |
As the General Partner of | |
FARALLON CAPITAL PARTNERS, L.P., | |
FARALLON CAPITAL INSTITUTIONAL PARTNERS, L.P., | |
FARALLON CAPITAL INSTITUTIONAL PARTNERS II, L.P., | |
FARALLON CAPITAL INSTITUTIONAL PARTNERS III, L.P., | |
FARALLON CAPITAL OFFSHORE INVESTORS II, L.P., and | |
FARALLON CAPITAL (AM) INVESTORS, L.P. | |
By: Hannah E. Dunn, Managing Member | |
/s/ Hannah E. Dunn | |
FARALLON INSTITUTIONAL (GP) V, L.L.C., | |
On its own behalf and | |
As the General Partner of | |
FOUR CROSSINGS INSTITUTIONAL PARTNERS V, L.P. | |
By: Hannah E. Dunn, Manager | |
/s/ Hannah E. Dunn | |
FARALLON F5 (GP), L.L.C., | |
On its own behalf and | |
As the General Partner of | |
FARALLON CAPITAL F5 MASTER I, L.P. | |
By: Hannah E. Dunn, Manager | |
/s/ Hannah E. Dunn | |
Hannah E. Dunn, individually and as attorney-in-fact for each of Joshua J. Dapice, Philip D. Dreyfuss, Richard B. Fried, Varun N. Gehani, Nicolas Giauque, David T. Kim, Michael G. Linn, Rajiv
A. Patel, Thomas G. Roberts, Jr., Edric C. Saito, William Seybold, Daniel S. Short, Andrew J. M. Spokes, John R. Warren and Mark C. Wehrly |
Page 35 of 35 Pages