Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
What is insider trading>>
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
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OMB Number:3235-0145
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SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. __)1/
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LIGHTNING EMOTERS INC.
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(Name of Issuer)
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Common Stock
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(Title of Class of Securities)
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53228T101
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(CUSIP Number)
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December 31, 2021
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(Date of Event which Requires Filing of this Statement)
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Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
[x] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
1/The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent
amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise
subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Ionic Capital Management LLC
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a) [ ]
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(b) [ ]
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SEC Use Only
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Citizenship or Place of Organization.
Delaware
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Number
of Shares
Beneficially
Owned by
Each
Reporting
Person With
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5 Sole Voting Power
-0-
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6 Shared Voting Power
4,743,912 shares
Refer to Item 4 below.
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7 Sole Dispositive Power
-0-
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8 Shared Dispositive Power
4,743,912 shares
Refer to Item 4 below.
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Aggregate Amount Beneficially Owned by Each Reporting Person
4,743,912 shares
Refer to Item 4 below.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] N/A
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Percent of Class Represented by Amount in Row (9)*
5.95%2
Refer to Item 4 below.
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Type of Reporting Person (See Instructions)
OO - Limited Liability Company
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2 The percentages reported in this Schedule 13G are based upon
approximately 79,692,254 shares of common stock outstanding comprised of (i) 74,955,725 shares of common stock outstanding as of October 29, 2021 (according to the issuer’s
Form 10-Q as filed with the Securities and Exchange Commission on November 15, 2021), and (ii) approximately 4,743,912 shares of common stock issuable upon the exercise of warrants
Item 1.
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(a)
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Name of Issuer
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Lightning eMotors, Inc
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(b)
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Address of Issuer's Principal Executive Offices
815 14th Street SW, Suite A100, Loveland, Colorado, 80537
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Item 2.
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(a)
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Name of Person Filing
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Ionic Capital Management LLC
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(b)
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Address of Principal Business Office or, if none, Residence
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475 Fifth Avenue, 9th Floor, New York, New York 10017
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(c)
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Place of Organization
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Delaware
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(d)
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Title of Class of Securities
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Common Stock
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(e)
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CUSIP Number
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53228T101
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| Item 3. |
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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[ ]
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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[ ]
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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[ ]
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Insurance Company as defined in Section 3(a)(19) of the Act
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(d)
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[ ]
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
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(e)
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[x]
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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[ ]
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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[ ]
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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(h)
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[ ]
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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[ ]
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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[ ]
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Group, in accordance with §240.13d-1(b)(1)(ii)(J).
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| Item 4. |
Ownership
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Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
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(a)
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Amount Beneficially Owned**
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4,743,912 shares
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(b)
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Percent of Class
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5.95%
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(c)
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Number of shares as to which such person has:
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(i)
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sole power to vote or to direct the vote
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0 shares
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(ii)
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shared power to vote or to direct the vote
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4,743,912 shares
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(iii)
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sole power to dispose or to direct the disposition of
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0 shares
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(iv)
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shared power to dispose or to direct the disposition of
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4,743,912 shares
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** Shares reported for Ionic Capital Management LLC reflect shares held of record by investment funds of which Ionic Capital Management LLC is the
investment advisor or sub-advisor. Ionic Capital Management LLC has ultimate voting and investment control over the shares reported herein, but disclaims beneficial ownership of such shares except to the exten
t of its pecuniary interest therein.
| Item 5. |
Ownership of Five Percent or Less of a Class
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of
the class of securities, check the following [ ].
| Item 6. |
Ownership of More than Five Percent on Behalf of Another Person
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Not applicable.
| Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
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Not applicable.
| Item 8. |
Identification and Classification of Members of the Group
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Not applicable.
| Item 9. |
Notice of Dissolution of Group
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Not applicable.
| Item 10. |
Certification
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By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with
the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Statement is true, complete and correct.
February 10, 2022
IONIC CAPITAL MANAGEMENT LLC
By: /s/ John C. Richardson
John C. Richardson
Chief Operating Officer and General Counsel