Amended Statement of Beneficial Ownership (3/a)
18 Octobre 2019 - 8:56PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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0.5
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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
*
Antara Capital LP |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/17/2019
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3. Issuer Name and Ticker or Trading Symbol
EVO Transportation & Energy Services, Inc. [EVOA]
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(Last)
(First)
(Middle)
500 FIFTH AVENUE, SUITE 2320 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director ___X___ 10% Owner _____ Officer (give title below) ___X___ Other (specify below) / See Footnote(1,2) |
(Street)
NEW YORK, NY 10110
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 9/27/2019
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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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)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 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) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Warrants to Purchase Common Stock | 9/16/2019 | 9/16/2029 | Common Stock | 943797 (6) | $2.50 | I | See footnotes (1)(2)(3)(5) |
Warrants to Purchase Common Stock | 9/16/2019 | 9/16/2029 | Common Stock | 81203 (6) | $2.50 | I | See footnotes (1)(2)(4)(5) |
Explanation of Responses: |
(1) | This Amended Form 3 is being filed on behalf of (i) Antara Capital Master Fund LP, a Cayman Islands exempted limited partnership ("Antara Master Fund"), (ii) Antara Capital LP, a Delaware limited partnership ("Antara Capital"), (iii) Antara Capital GP LLC, a Delaware limited liability company ("Antara GP"), (iv) Antara Capital Fund GP LLC, a Delaware limited liability company ("Antara Fund GP") and (v) Himanshu Gulati (collectively, the "Reporting Persons"). Antara Capital serves as the investment manager of Antara Master Fund. Antara Fund GP is the general partner of Antara Master Fund and Antara GP is the general partner of Antara Capital. Himanshu Gulati is the sole member of Antara Fund GP and Antara GP. |
(2) | [continued from footnote 1] Each of Antara Capital, Antara GP, Antara Fund GP and Himanshu Gulati may be deemed to indirectly beneficially own Common Stock held directly by the Antara Master Fund and each disclaims beneficial ownership of all such Common Stock except to the extent of any indirect pecuniary interest therein. |
(3) | The warrants are held directly by Antara Master Fund. |
(4) | The warrants are held by a managed account for which Antara Capital serves as investment manager (the "Managed Fund"). The Reporting Persons disclaim beneficial ownership of these warrants except to the extent of the Reporting Persons' pecuniary interest therein. |
(5) | This report shall not be deemed an admission that the Reporting Persons, or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
(6) | This Amended Form 3 is being filed to correct the original Form 3 filed on September 27, 2019 (the "Original Form 3"). Due to a computational error, EVO erroneously granted to (i) Antara Master Fund a Warrant to purchase 819,492 shares of Common Stock, and (ii) the Managed Fund a Warrant to purchase 70,508 shares of Common Stock, each of which were reported in the Original Form 3. The applicable parties subsequently entered into amended and restated warrants on October 17, 2019 to remedy the erroneous grant. This Amended Form 3 reports the number of shares of Common Stock issuable upon exercise of the amended and restated warrants. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Antara Capital LP 500 FIFTH AVENUE, SUITE 2320 NEW YORK, NY 10110 | X | X |
| See Footnote(1,2) |
Antara Capital Master Fund LP 500 FIFTH AVENUE, SUITE 2320 NEW YORK, NY 10110 | X | X |
| See Footnote(1,2) |
Antara Capital GP LLC 500 FIFTH AVENUE, SUITE 2320 NEW YORK, NY 10110 | X | X |
| See Footnote(1,2) |
Antara Capital Fund GP LLC 500 FIFTH AVENUE, SUITE 2320 NEW YORK, NY 10110 | X | X |
| See Footnote(1,2) |
Gulati Himanshu 500 FIFTH AVENUE, SUITE 2320 NEW YORK, NY 10110 | X | X |
| See Footnote(1,2) |
Signatures
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ANTARA CAPITAL MASTER FUND LP, By: Antara Capital LP, not in its individual corporate capacity, but solely as Investment Advisor and agent, By: Antara Capital GP LLC, its general partner By: /s/ Himanshu Gulati, Name: Himanshu Gulati, Title: Managing Memb | | 10/18/2019 |
**Signature of Reporting Person | Date |
ANTARA CAPITAL LP, By: Antara Capital GP LLC, its general partner, By: /s/ Himanshu Gulati, Name: Himanshu Gulati, Title: Managing Member | | 10/18/2019 |
**Signature of Reporting Person | Date |
ANTARA CAPITAL GP LLC, By: /s/ Himanshu Gulati, Name: Himanshu Gulati, Title: Managing Member | | 10/18/2019 |
**Signature of Reporting Person | Date |
ANTARA CAPITAL FUND GP LLC, By: /s/ Himanshu Gulati, Name: Himanshu Gulati, Title: Managing Member | | 10/18/2019 |
**Signature of Reporting Person | Date |
By: /s/ Himanshu Gulati, Himanshu Gulati, an individual | | 10/18/2019 |
**Signature of Reporting Person | Date |
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