| FORM
3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF
SECURITIES
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act
of 1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person
*
| DA32 LIFE SCIENCE TECH ACQUISITION CORP |
| 345 PARK AVENUE SOUTH, 12TH FLOOR |
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
07/27/2021
|
3. Issuer Name
and
Ticker or Trading Symbol
DA32 Life Science Tech Acquisition Corp.
[
DALS
]
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
X |
10% Owner |
|
Officer (give title below) |
X |
Other (specify below) |
|
Director by Deputization |
|
5. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check
Applicable Line)
|
Form filed by One Reporting Person |
| X |
Form filed by More than One Reporting
Person |
|
| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
|
2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6. Nature of Indirect Beneficial Ownership (Instr.
5)
|
| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Class B Common Stock
(1)
|
|
|
Class A Common Stock
|
5,166,250
|
(3)
|
I
(2)
|
Through DA32 Sponsor LLC
|
|
Class B Common Stock
(1)
|
|
|
Class A Common Stock
|
230,000
|
(5)
|
D
(4)
|
|
| Explanation of Responses: |
|
|
|
|
|
| Remarks: |
See Exhibit 99.1 - Joint Filer Information, which is incorporated herein by reference and describes in further detail the relationships of the Reporting Persons to the Issuer. See Exhibits 24.1, 24.2 and 24.3 - Powers of Attorney.
Steve Kafka, an employee of Section 32 Fund 3, LP, serves as a director of the Issuer. |
|
/s/ Henrikki Harsu, Attorney-in-Fact for Section 32 Fund 3, LP |
07/27/2021 |
|
** Signature of Reporting Person |
Date |
|
/s/ Henrikki Harsu, Attorney-in-Fact for Section 32 GP 3, LLC |
07/27/2021 |
|
** Signature of Reporting Person |
Date |
|
/s/ Henrikki Harsu, Attorney-in-Fact for William J. Maris |
07/27/2021 |
|
** 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. |
POWER OF ATTORNEY
The undersigned constitutes and appoints Joel Rubinstein, Daniel Nussen,
Henrikki Harsu, Audrey Bae, Alexis Ko and Lane Ransom, or any of them acting
singly, as the undersigned's true and lawful attorneys-in-fact and agents, with
full power of substitution and resubstitution, for the undersigned and in the
undersigned's name, place and stead, to:
1. prepare, sign, and submit to the Securities and Exchange Commission
(the "SEC") on its Electronic Data Gathering, Analysis, and Retrieval ("EDGAR")
Filer Management website a Form ID application, including any amendments and
exhibits thereto, and any other related documents as may be necessary or
appropriate, to obtain from the SEC access codes to permit filing on the SEC's
EDGAR system, granting unto said attorneys-in-fact and agents, and each of them,
full power and authority to do and perform each act and thing requisite and
necessary to be done as required by any rule or regulation of the SEC and the
EDGAR Filer Manual as fully and to all intents and purposes as the undersigned
might or could do in person, hereby ratifying and confirming all that said
attorneys-in-fact and agents, and each of them, may lawfully do or cause to be
done by virtue hereof; and
2. sign any and all SEC statements of beneficial ownership of securities
of DA32 Life Science Tech Acquisition Corp. (the "Company") on Schedule 13D as
required under Section 13 and Forms 3, 4 and 5 as required under Section 16(a)
of the Securities Exchange Act of 1934, as amended, and any amendments thereto,
and to file the same with all exhibits thereto, and other documents in
connection therewith, with the SEC, the Company and any stock exchange on which
any of the Company's securities are listed, granting unto said attorneys-in-
fact and agents, and each of them, full power and authority to do and perform
each act and thing requisite and necessary to be done under said Section 13 and
Section 16(a), as fully and to all intents and purposes as the undersigned might
or could do in person, hereby ratifying and confirming all that said attorneys-
in-fact and agents, and each of them, may lawfully do or cause to be done by
virtue hereof.
A copy of this power of attorney shall be filed with the SEC. The
authorization set forth above shall continue in full force and effect until the
undersigned revokes such authorization by written instructions to the attorneys-
in-fact.
The authority granted hereby shall in no event be deemed to impose or
create any duty on behalf of the attorneys-in-fact with respect to the
undersigned's obligations to file a Form ID, Schedule 13Ds and Forms 3, 4 and 5
with the SEC.
Dated: July 27, 2021
SECTION 32 FUND 3, LP
By: /s/ William J. Maris
----------------------
Name: William J. Maris
Title: Managing Member
POWER OF ATTORNEY
The undersigned constitutes and appoints Joel Rubinstein, Daniel Nussen,
Henrikki Harsu, Audrey Bae, Alexis Ko and Lane Ransom, or any of them acting
singly, as the undersigned's true and lawful attorneys-in-fact and agents, with
full power of substitution and resubstitution, for the undersigned and in the
undersigned's name, place and stead, to:
1. prepare, sign, and submit to the Securities and Exchange Commission
(the "SEC") on its Electronic Data Gathering, Analysis, and Retrieval ("EDGAR")
Filer Management website a Form ID application, including any amendments and
exhibits thereto, and any other related documents as may be necessary or
appropriate, to obtain from the SEC access codes to permit filing on the SEC's
EDGAR system, granting unto said attorneys-in-fact and agents, and each of them,
full power and authority to do and perform each act and thing requisite and
necessary to be done as required by any rule or regulation of the SEC and the
EDGAR Filer Manual as fully and to all intents and purposes as the undersigned
might or could do in person, hereby ratifying and confirming all that said
attorneys-in-fact and agents, and each of them, may lawfully do or cause to be
done by virtue hereof; and
2. sign any and all SEC statements of beneficial ownership of securities
of DA32 Life Science Tech Acquisition Corp. (the "Company") on Schedule 13D as
required under Section 13 and Forms 3, 4 and 5 as required under Section 16(a)
of the Securities Exchange Act of 1934, as amended, and any amendments thereto,
and to file the same with all exhibits thereto, and other documents in
connection therewith, with the SEC, the Company and any stock exchange on which
any of the Company's securities are listed, granting unto said attorneys-in-
fact and agents, and each of them, full power and authority to do and perform
each act and thing requisite and necessary to be done under said Section 13 and
Section 16(a), as fully and to all intents and purposes as the undersigned might
or could do in person, hereby ratifying and confirming all that said attorneys-
in-fact and agents, and each of them, may lawfully do or cause to be done by
virtue hereof.
A copy of this power of attorney shall be filed with the SEC. The
authorization set forth above shall continue in full force and effect until the
undersigned revokes such authorization by written instructions to the attorneys-
in-fact.
The authority granted hereby shall in no event be deemed to impose or
create any duty on behalf of the attorneys-in-fact with respect to the
undersigned's obligations to file a Form ID, Schedule 13Ds and Forms 3, 4 and 5
with the SEC.
Dated: July 27, 2021
SECTION 32 GP 3, LLC
By: /s/ William J. Maris
-----------------------------
Name: William J. Maris
Title: Managing Member
POWER OF ATTORNEY
The undersigned constitutes and appoints Joel Rubinstein, Daniel Nussen,
Henrikki Harsu, Audrey Bae, Alexis Ko and Lane Ransom or any of them acting
singly, as the undersigned's true and lawful attorneys-in-fact and agents, with
full power of substitution and resubstitution, for the undersigned and in the
undersigned's name, place and stead, to:
1. prepare, sign, and submit to the Securities and Exchange Commission
(the "SEC") on its Electronic Data Gathering, Analysis, and Retrieval ("EDGAR")
Filer Management website a Form ID application, including any amendments and
exhibits thereto, and any other related documents as may be necessary or
appropriate, to obtain from the SEC access codes to permit filing on the SEC's
EDGAR system, granting unto said attorneys-in-fact and agents, and each of them,
full power and authority to do and perform each act and thing requisite and
necessary to be done as required by any rule or regulation of the SEC and the
EDGAR Filer Manual as fully and to all intents and purposes as the undersigned
might or could do in person, hereby ratifying and confirming all that said
attorneys-in-fact and agents, and each of them, may lawfully do or cause to be
done by virtue hereof; and
2. sign any and all SEC statements of beneficial ownership of securities
of DA32 Life Science Tech Acquisition Corp. (the "Company") on Schedule 13D as
required under Section 13 and Forms 3, 4 and 5 as required under Section 16(a)
of the Securities Exchange Act of 1934, as amended, and any amendments thereto,
and to file the same with all exhibits thereto, and other documents in
connection therewith, with the SEC, the Company and any stock exchange on which
any of the Company's securities are listed, granting unto said attorneys-in-
fact and agents, and each of them, full power and authority to do and perform
each act and thing requisite and necessary to be done under said Section 13 and
Section 16(a), as fully and to all intents and purposes as the undersigned might
or could do in person, hereby ratifying and confirming all that said attorneys-
in-fact and agents, and each of them, may lawfully do or cause to be done by
virtue hereof.
A copy of this power of attorney shall be filed with the SEC. The
authorization set forth above shall continue in full force and effect until the
undersigned revokes such authorization by written instructions to the attorneys-
in-fact.
The authority granted hereby shall in no event be deemed to impose or
create any duty on behalf of the attorneys-in-fact with respect to the
undersigned's obligations to file a Form ID, Schedule 13Ds and Forms 3, 4 and 5
with the SEC.
Dated: July 27, 2021
/s/ William J. Maris
--------------------
William J. Maris
Joint Filer Information
Name of Joint Filer: Section 32 Fund 3, LP
Address of Joint Filer: DA32 Life Science Tech Acquisition Corp.
345 Park Avenue South, 12th Floor
New York, NY 10010
Relationship of Joint Filer to Issuer: 10% Owner, Director by Deputization
Issuer Name and Ticker or Trading
Symbol: DA32 Life Science Tech Acquisition Corp.
[DALS]
Date of Event Requiring Statement:
(Month/Day/Year): 07/27/2021
Name of Joint Filer: Section 32 GP 3, LLC
Address of Joint Filer: DA32 Life Science Tech Acquisition Corp.
345 Park Avenue South, 12th Floor
New York, NY 10010
Relationship of Joint Filer to Issuer: 10% Owner, Director by Deputization
Issuer Name and Ticker or Trading
Symbol: DA32 Life Science Tech Acquisition Corp.
[DALS]
Date of Event Requiring Statement:
(Month/Day/Year): 07/27/2021
Name of Joint Filer: William J. Maris
Address of Joint Filer: DA32 Life Science Tech Acquisition Corp.
345 Park Avenue South, 12th Floor
New York, NY 10010
Relationship of Joint Filer to Issuer: 10% Owner, Director by Deputization
Issuer Name and Ticker or Trading
Symbol: DA32 Life Science Tech Acquisition Corp.
[DALS]
Date of Event Requiring Statement:
(Month/Day/Year): 07/27/2021
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