Statement of Changes in Beneficial Ownership (4)
01 November 2021 - 9:31PM
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).
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
*
ENT4.0 Technology Sponsor LLC |
2. Issuer Name and Ticker or Trading Symbol
Enterprise 4.0 Technology Acquisition Corp
[
ENTF
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
533 AIRPORT BLVD, SUITE 400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/21/2021 |
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(Street)
BURLINGAME, CA 94010
(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
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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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| Class A ordinary shares | 10/21/2021 | | J(1) | | 600000 (1) | A | $10.00 | 600000 (1) | I | See footnote (2) |
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 |
| Sponsor Loan | $10 | 10/21/2021 | | J (3) | | $6220000 | | (3) | (3) | Class A ordinary shares | 622000 | $6220000 | $6220000 | I | See footnote (2) |
| Explanation of Responses: |
| (1) | Consists of 600,000 placement units purchased by ENT4.0 Technology Sponsor LLC ("Sponsor") for $10.00 per unit in a private placement transaction with the Issuer. Each such unit consists of one Class A ordinary share and one-half of one redeemable warrant. Each whole warrant entitles the holder thereof to purchase one Class A ordinary share at a price of $11.50 per share, subject to adjustment. The warrants will become exercisable 30 days after the completion of the Issuer's business combination transaction. |
| (2) | Sponsor is the record holder of the securities reported herein. Alex Vieux and Steven Fletcher are managing members of Sponsor and of Founder Holdings LLC, which is the managing member of Explorer Parent LLC, which is a member of Sponsor. By virtue of these relationships, each of these entities and individuals may be deemed to share beneficial ownership of the securities held of record by Sponsor. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein. |
| (3) | The Sponsor Loan is convertible at the option of Sponsor into Sponsor Loan Units at a conversion price of $10.00 per unit at any time up until the consummation of the Issuer's business combination transaction. Each Sponsor Loan Unit consists of one Class A ordinary share and one-half of one redeemable warrant. Each whole warrant entitles the holder thereof to purchase one Class A ordinary share at a price of $11.50 per share, subject to adjustment. The warrants will become exercisable 30 days after the completion of the Issuer's business combination transaction. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
ENT4.0 Technology Sponsor LLC
533 AIRPORT BLVD, SUITE 400
BURLINGAME, CA 94010 |
| X |
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Explorer Parent LLC
533 AIRPORT BLVD, SUITE 400
BURLINGAME, CA 94010 |
| X |
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Founder Holdings LLC
533 AIRPORT BLVD, SUITE 400
BURLINGAME, CA 94010 |
| X |
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Fletcher Steven C.
533 AIRPORT BLVD, SUITE 400
BURLINGAME, CA 94010 |
| X |
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VIEUX ALEX SERGE
533 AIRPORT BLVD, SUITE 400
BURLINGAME, CA 94010 |
| X |
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Signatures
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| ENT4.0 Technology Sponsor LLC By: /s/ Steven Fletcher, a Managing Member | | 11/1/2021 |
| **Signature of Reporting Person | Date |
| Explorer Parent LLC By: Founder Holdings LLC, its managing member By: /s/ Steven Fletcher, a Managing Member, By: /s/ Alex Vieux, a Managing Member | | 11/1/2021 |
| **Signature of Reporting Person | Date |
| Founder Holdings LLC By: /s/ Steven Fletcher, a Managing Member, By: /s/ Alex Vieux, a Managing Member | | 11/1/2021 |
| **Signature of Reporting Person | Date |
| /s/ Steven Fletcher | | 11/1/2021 |
| **Signature of Reporting Person | Date |
| /s/ Alex Vieux | | 11/1/2021 |
| **Signature of Reporting Person | Date |
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