Statement of Changes in Beneficial Ownership (4)
November 10 2020 - 6:54PM
Edgar (US Regulatory)
FORM 4
[X]
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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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
*
PASCALE GERARD |
2. Issuer Name and Ticker or Trading Symbol
Netfin Acquisition Corp.
[
NFIN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Financial Officer |
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(Last)
(First)
(Middle)
C/O NETFIN ACQUISITION CORP., 445 PARK AVENUE, 9TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/10/2020 |
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(Street)
NEW YORK, NY 10022
(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)
_X
_ Form filed by One Reporting Person
___ 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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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 |
| Class B Ordinary Shares | (1) | 11/10/2020 | | J (2) | | | 15000 | (1) | (1) | Class A Ordinary Shares | 15000 | (2) | 0 | D | |
| Explanation of Responses: |
| (1) | The Class B ordinary shares are convertible for shares of the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's registration statement on Form S-1 (File No. 333-240171) (the "Registration Statement") and have no expiration date. |
| (2) | Disposition of 15,000 shares of Class B ordinary shares in connection with the transaction contemplated by the Business Combination Agreement, dated as of July 29, 2020 and amended on August 28, 2020, by and among the Issuer, Triterras, Inc. (f/k/a Netfin Holdco), Netfin Merger Sub, Symphonia Strategic Opportunities Limited, IKON Strategic Holdings Fund and MVR Netfin LLC, as the Netfin Representative, in exchange for the same number of ordinary shares of Triterras, Inc. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
PASCALE GERARD
C/O NETFIN ACQUISITION CORP.
445 PARK AVENUE, 9TH FLOOR
NEW YORK, NY 10022 |
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| Chief Financial Officer |
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Signatures
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| /s/ Elliott Smith, Attorney-in-Fact for Gerard Pascale | | 11/10/2020 |
| **Signature of Reporting Person | Date |
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