SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
| |||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol Harmony Merger Corp. [ HRMNU ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| ||||||||||||||||||||||||
3. Date of Earliest Transaction (Month/Day/Year) 03/27/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock(1) | 03/27/2015 | P | 7,600 | A | (2) | 41,971 | D | |||
Common Stock(1) | 03/27/2015 | P | 5,000 | A | (3) | 46,971 | D | |||
Common Stock | 1,525,566 | D | ||||||||
Common Stock(1) | 30,000 | I | By Rosenfeld Children's Successor Trust | |||||||
Common Stock | 60,000 | I | by Rosenfeld children's Successor Trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 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: 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 | ||||||||
Redeemable Warrant(1) | $11.5 | 03/27/2015 | P | 7,600 | (4) | (5) | Common Stock | 41,971 | (2) | 41,971 | D | ||||
Redeemable Warrant(1) | $11.5 | 03/27/2015 | P | 5,000 | (4) | (5) | Common Stock | 46,971 | (3) | 46,971 | D | ||||
Redeemable Warrant(1) | $11.5 | (4) | (5) | Common Stock | 30,000 | 30,000 | I | by Rosenfeld Children's Successor Trust |
Explanation of Responses: |
1. Represents securities underlying units of the Issuer ("Unit"). Each Unit consists of one share of common stock and one redeemable warrant ("Warrant") to purchase one share of common stock. |
2. 7,600 Units were transfered to Mr. Rosenfeld from Mr. Schlemm as a result of the exercise of the over-allotment option by the underwriter in full. |
3. Mr. Rosenfeld purchased an aggregate of 5,000 Units of the issuer for $10.00 per Unit on a private placement basis simultaneously with the exercise of the over-allotment option. |
4. Each Warrant will become exercisable on the later of 30 days after the completion of an initial business combination and March 23, 2016. |
5. Each Warrant will expire five years after the completion of an initial business combination, or earlier upon redemption. |
Remarks: |
/s/ Eric S. Rosenfeld | 03/30/2015 | |
** 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 Number. |