Statement of Changes in Beneficial Ownership (4)
19 Oktober 2018 - 1:27AM
Edgar (US Regulatory)
FORM 4
[ ]
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
Estimated average burden
hours per response...
0.5
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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
*
HENNESSY DANIEL J
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2. Issuer Name
and
Ticker or Trading Symbol
NRC GROUP HOLDINGS CORP.
[
NRCG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
3485 N. PINES WAY, SUITE 110
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3. Date of Earliest Transaction
(MM/DD/YYYY)
10/17/2018
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(Street)
WILSON, WY 83014
(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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Common Stock
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10/17/2018
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J
(1)
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1920000
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D
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$0
(1)
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3371250
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I
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See Footnote
(2)
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Common Stock
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10/17/2018
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P
(3)
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1920000
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A
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$0
(3)
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5291250
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I
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See Footnote
(2)
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Common Stock
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10/17/2018
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J
(4)
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126953
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D
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$0
(4)
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5164297
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I
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See Footnote
(2)
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Common Stock
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10/17/2018
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J
(5)
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5164297
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D
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$0
(5)
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0
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I
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See Footnote
(2)
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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Explanation of Responses:
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(1)
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As contemplated by the sponsor warrant exchange and share forfeiture agreement (the "Agreement"), dated June 25, 2018, between the registrant and Hennessy Capital Partners III LLC ("HCP"), 1,920,000 shares of common stock held by HCP were returned to the registrant for no consideration and cancelled. Hennessy Capital LLC is the managing member of HCP. Daniel J. Hennessy is the sole managing member of Hennessy Capital LLC. Consequently, Mr. Hennessy may be deemed the beneficial owner of the shares held by HCP and has sole voting and dispositive control over such securities.
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(2)
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Mr. Hennessy disclaims beneficial ownership except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
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(3)
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As contemplated by the Agreement, HCP exchanged 9,600,000 warrants of the registrant for 1,920,000 shares of the registrant's common stock
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(4)
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To facilitate the proposed business combination between the registrant and NRC Group Holdings, LLC, HCP agreed to forfeit these shares for the benefit of certain investors.
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(5)
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Represents the pro rata distribution of the shares of common stock of the registrant held by HCP to all of the members of the reporting person or their permitted transferees.
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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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HENNESSY DANIEL J
3485 N. PINES WAY, SUITE 110
WILSON, WY 83014
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X
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X
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Hennessy Capital Partners III LLC
3485 N. PINES WAY, SUITE 110
WILSON, WY 83014
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X
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Hennessy Capital LLC
3485 N. PINES WAY, SUITE 110
WILSON, WY 83014
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X
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Signatures
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/s/ Daniel J. Hennessy
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10/18/2018
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**
Signature of Reporting Person
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Date
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/s/ Daniel J. Hennessy, Managing Member of Hennessy Capital Partners III LLC, as Managing Member of Hennessy Capital LLC
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10/18/2018
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**
Signature of Reporting Person
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Date
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/s/ Daniel J. Hennessy, Managing Member of Hennessy Capital LLC
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10/18/2018
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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 4(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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