Form 4 DA32 Life Science Tech For: Jul 30 Filed by: Maris William J
August 3, 2021 9:47 PM EDT
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
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OMB APPROVAL |
OMB Number: |
3235-0287 |
Expires: |
December 31, 2014 |
Estimated average burden |
hours per response: |
0.5 |
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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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1. Name and Address of Reporting Person
*
DA32 LIFE SCIENCE TECH ACQUISITION CORP |
345 PARK AVENUE SOUTH, 12TH FLOOR |
(Street)
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2. Issuer Name
and
Ticker or Trading Symbol
DA32 Life Science Tech Acquisition Corp.
[
DALS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
X |
10% Owner |
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Officer (give title below) |
X |
Other (specify below) |
Director by Deputization |
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3. Date of Earliest Transaction
(Month/Day/Year) 07/30/2021
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check
Applicable Line)
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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 |
1.
Title of Security (Instr.
3)
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2.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any
(Month/Day/Year) |
3.
Transaction 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 |
V |
Amount |
(A) or (D) |
Price |
Class A Common Stock
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07/30/2021 |
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P |
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800,000
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A
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$
10
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800,000
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D
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Class A Common Stock
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07/30/2021 |
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A |
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650,000
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A
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$
10
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1,450,000
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I
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Through DA32 Sponsor LLC
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction 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
(Month/Day/Year) |
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: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
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. Henrikki Harsu, Attorney-in-Fact: Power of Attorney, which is hereby incorporated by reference to Exhibit 24.1, 24.2 and 24.3 to a Form 3 with regard to DA32 Life Science Tech Acquisition Corp. filed with the Securities and Exchange Commission on July 27, 2021 by Section 32 Fund 3, LP, Section 32 GP 3, LLC and William J Maris. Steve Kafka, an employee of Section 32 Fund 3, LP, serves as a director of the Issuer. |
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/s/ Henrikki Harsu, Attorney-in-Fact for Section 32 Fund 3, LP |
08/03/2021 |
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** Signature of Reporting Person |
Date |
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/s/ Henrikki Harsu, Attorney-in-Fact for Section 32 GP 3, LLC |
08/03/2021 |
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** Signature of Reporting Person |
Date |
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/s/ Henrikki Harsu, Attorney-in-Fact for William J Maris |
08/03/2021 |
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** 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. |
Joint Filer Information
Name of Joint Filer: Section 32 Fund 3, LP
Address of Joint Filer: 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): 07/30/2021
Name of Joint Filer: Section 32 GP 3, LLC
Address of Joint Filer: 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): 07/30/2021
Name of Joint Filer: William J. Maris
Address of Joint Filer: 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): 07/30/2021
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