UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant (1) | (5) | (6) | Common Stock, par value $0.0001 | 868,500 | $ 11.5 | I | See footnote (2) (3) |
Warrant (1) | (5) | (6) | Common Stock, par value $0.0001 | 610,350 | $ 11.5 | I | See footnote (2) (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Electron Capital Partners, LLC 10 EAST 53RD STREET, 19TH FLOOR NEW YORK, NY 10022 |
X | |||
Electron Global Master Fund, L.P. 10 EAST 53RD STREET, 19TH FLOOR NEW YORK, NY 10022 |
X | |||
Electron GP, LLC 10 EAST 53RD STREET, 19TH FLOOR NEW YORK, NY 10022 |
X | |||
Electron Infrastructure Master Fund, L.P. 10 EAST 53RD STREET, 19TH FLOOR NEW YORK, NY 10022 |
X | |||
Electron Infrastructure GP, LLC 10 EAST 53RD STREET, 19TH FLOOR NEW YORK, NY 10022 |
X | |||
Shaver James O. C/O ELECTRON CAPITAL PARTNERS, LLC 10 EAST 53RD STREET, 19TH FLOOR NEW YORK, NY 10022 |
X |
/s/ Aaron Keller, Authorized Signatory of Electron Capital Partners, LLC | 12/14/2020 | |
**Signature of Reporting Person | Date | |
/s/ Aaron Keller, Authorized Signatory of Electron GP LLC, the General Partner of Electron Global Master Fund L.P. | 12/14/2020 | |
**Signature of Reporting Person | Date | |
/s/ Aaron Keller, Authorized Signatory of Electron GP LLC | 12/14/2020 | |
**Signature of Reporting Person | Date | |
/s/ Aaron Keller, Authorized Signatory of Electron Infrastructure GP, LLC, the General Partner of Electron Infrastructure Master Fund L.P. | 12/14/2020 | |
**Signature of Reporting Person | Date | |
/s/ Aaron Keller, Authorized Signatory of Electron Infrastructure GP, LLC | 12/14/2020 | |
**Signature of Reporting Person | Date | |
/s/ James O. Shaver | 12/14/2020 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | In connection with the initial public offering of Rodgers Silicon Valley Acquisition Corp. (the "Company"), the reporting persons acquired units (the "Units"). Each Unit consists of one share of common stock, par value $0.0001 per share (the "Common Stock"), of the Company and one-half of one warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "Warrants"). |
(2) | Electron Capital Partners, LLC (the "Adviser") is the investment manager for the Electron Global Master Fund L.P. (the "Global Fund") and the Electron Infrastructure Master Fund L.P. (the "Infrastructure Fund"). The general partner of the Global Fund is Electron GP LLC (the "Global Fund GP"), of which Mr. James O. Shaver is the managing member. The general partner of the Infrastructure Fund is Electron Infrastructure GP, LLC (the "Infrastructure Fund GP," and together with the Global Fund GP, the "GPs"), of which Mr. Shaver is the managing member. The Adviser, the GPs and Mr. Shaver disclaim beneficial ownership of the securities reported on this Form 3, except to the extent of any pecuniary interest therein. |
(3) | Held directly by the Global Fund. |
(4) | Held directly by the Infrastructure Fund. |
(5) | The Warrants will become exercisable at any time commencing on the later of (a) 12 months from the closing of the offering or (b) 30 days after the completion of the Company's initial business combination. |
(6) | The Warrants will expire 5 years after the completion of the Company's initial business combination, at 5:00 p.m., New York City time, or earlier upon redemption or liquidation. |