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Filing Details

Accession Number:
0001213900-12-006964
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-12-21 20:16:57
Reporting Period:
2012-12-19
Filing Date:
2012-12-21
Accepted Time:
2012-12-21 20:16:57
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1527349 Chart Acquisition Corp. CACGU Blank Checks (6770) 452853218
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1534548 Chart Acquisition Group Llc 75 Rockafeller Plaza, 14Th Floor
New York NY 10019
No No Yes No
1564636 D. Christopher Brady C/o The Chart Group, Lp
75 Rockafeller Plaza, 14Th Floor
New York NY 10019
President Yes Yes Yes No
1564921 Chart Group, Lp 75 Rockafeller Plaza, 14Th Floor
New York NY 10019
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2012-11-01 231,250 $0.00 1,487,031 No 4 P Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrants Acquisiton 2012-11-01 231,250 $0.00 231,250 $11.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
231,250 No 4 P Indirect
Footnotes
  1. Reported securities acquired pursuant to that certain Third Amended and Restated Unit Subscription Agreement dated as of November 1, 2012 by and among Chart Acquisition Group LLC and the Issuer.
  2. The reported securities are included within 231,250 Units purchased by the reporting person for $10.00 per Unit. Each Unit consists of one share of Common Stock and one warrant to purchase one share of Common Stock. Such shares and warrants, respectively, are identical to the shares of Common Stock and warrants, respectively, included in the units sold in the Issuer's initial public offering ("IPO"), except for those differences set forth in the Issuer's IPO prospectus filed with the Commission on December 14, 2012. Such shares and warrants, respectively, are also subject to certain transfer restrictions. Such warrants may be exercised for cash or on a cashless basis, and are not subject to being called for redemption.
  3. Mr. Brady indirectly owns the 231,250 Units reported herein through his membership interest in Antwerp L.L.C, the general partner of The Chart Group L.P. which is the sole managing member of Chart Acquisition Group LLC.
  4. Each warrant is exercisable to purchase one share of Common Stock at an exercise price of $11.50 during the period commencing on the later of (i) twelve (12) months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Company's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Issuer's Business Combination.
  5. Each reporting person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.