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.
- Peter Lynch
What is insider trading>>
UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
Yellowstone Acquisition Company
| (Name of Issuer) |
|
Class A common stock, $0.0001 par value |
| (Title of Class of Securities) |
98566K105 |
| (CUSIP Number) |
|
|
| December 31, 2021 |
| (Date of Event Which Requires Filing of this Statement) |
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
x Rule 13d-1(b)
o Rule 13d-1(c)
o Rule 13d-1(d)
*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).
|
CUSIP No. 98566K105
|
SCHEDULE 13G
|
Page 2
of 8 Pages
|
|
1
|
NAME OF REPORTING PERSONS
ALPHA WAVE GLOBAL, LP
|
|||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) o
(b) o
|
|
||
|
3
|
SEC USE ONLY
|
|||
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
State of Delaware
|
|||
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
||
|
6
|
SHARED VOTING POWER
758,187 shares as of December 31, 2021; 0 shares as of the date of this filing
|
|||
|
7
|
SOLE DISPOSITIVE POWER
0
|
|||
|
8
|
SHARED DISPOSITIVE POWER
758,187 shares as of December 31, 2021; 0 shares as of the date of this filing
|
|||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
o
|
||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.6% as of December 31, 2021; 0% as of the date of this filing
|
|||
|
12
|
TYPE OF REPORTING PERSON
IA
|
|||
|
CUSIP No. 98566K105
|
SCHEDULE 13G
|
Page 3
of 8 Pages
|
|
1
|
NAME OF REPORTING PERSONS
Richard Gerson
|
|||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) o
(b) o
|
|
||
|
3
|
SEC USE ONLY
|
|||
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
|
|||
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
||
|
6
|
SHARED VOTING POWER
758,187 shares as of December 31, 2021; 0 shares as of the date of this filing
|
|||
|
7
|
SOLE DISPOSITIVE POWER
0
|
|||
|
8
|
SHARED DISPOSITIVE POWER
758,187 shares as of December 31, 2021; 0 shares as of the date of this filing
|
|||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
o
|
||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.6% as of December 31, 2021; 0% as of the date of this filing
|
|||
|
12
|
TYPE OF REPORTING PERSON
IN
|
|||
|
CUSIP
No. 98566K105
|
SCHEDULE 13G
|
Page 4
of 8 Pages
|
| Item 1. | (a) Name of Issuer |
Yellowstone Acquisition Company (the "Issuer")
| Item 1. | (b) Address of Issuer’s Principal Executive Offices |
1601 Dodge Street, Suite 3300
Omaha, Nebraska 68102
| Item 2. | (a) Names of Person Filing |
This statement is filed by:
(1) Alpha Wave Global, LP, as investment manager of certain affiliated private funds (the “Alpha Wave Funds”); and
(2) Richard Gerson, who serves as the Chairman and Chief Investment Officer of Alpha Wave Global, LP, with respect to the shares of Class A common stock held by the Alpha Wave Funds.
The foregoing persons are hereinafter sometimes collectively referred to as the “Reporting Persons.”
The filing of this statement should not be construed as an admission that any of the Reporting Persons is, for the purposes of Section 13 of the Act, the beneficial owner of the shares of Class A common stock reported herein.
| Item 2. | (b) Address of Principal Business Office |
The principal business office of Alpha Wave Global, LP and Richard Gerson is 660 Madison Avenue, 19th Floor, New York, NY 10065, United States of America.
| Item 2. | (c) Place of Organization |
Alpha Wave Global, LP is a Delaware limited partnership. Richard Gerson is a United States citizen.
| Item 2. | (d) Title of Class of Securities |
Class A common stock, $0.0001 par value
| Item 2. | (e) CUSIP No.: |
98566K105
|
CUSIP No. 98566K105
|
SCHEDULE 13G
|
Page 5
of 8 Pages
|
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: |
| (a) | ¨ | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); | |
| (b) | ¨ | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); | |
| (c) | ¨ | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); | |
| (d) | ¨ | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); | |
| (e) | x | An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); | |
| (f) | ¨ | An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); | |
| (g) | ¨ | A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); | |
| (h) | ¨ | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | |
| (i) | ¨ | 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); | |
| (j) | ¨ | A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J); | |
| (k) | ¨ | A group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: | |
|
CUSIP
No. 98566K105
|
SCHEDULE 13G
|
Page
6 of 8 Pages
|
Item 4. Ownership
The information required by Items 4(a) - (c) is set forth in Rows (5) - (11) of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.
The percentages set forth in this Schedule 13G are calculated based upon an aggregate of 13,598,898 shares of Class A common stock outstanding as of November 4, 2021 as disclosed in the Issuer's Form 10-Q filed on November 5, 2021.
Item 5. Ownership of Five Percent or Less of a Class
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 [X].
Item 6. Ownership of More Than Five Percent on Behalf of Another Person
Not Applicable.
Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
Not Applicable.
Item 8. Identification and Classification of Members of the Group
Not Applicable.
Item 9. Notice of Dissolution of Group
Not Applicable.
Item 10. Certification
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.
|
CUSIP No. 98566K105
|
SCHEDULE 13G
|
Page
7 of 8 Pages
|
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.
Dated: February 14, 2022
ALPHA WAVE GLOBAL, LP | |||
| By: | /s/ Richard Gerson | ||
| Richard Gerson, Chairman and CIO | |||
| By: | /s/ Richard Gerson | ||
| RICHARD GERSON | |||
|
CUSIP No. 98566K105
|
SCHEDULE 13G
|
Page 8
of 8 Pages
|
Exhibit A
JOINT FILING STATEMENT
PURSUANT TO RULE 13d-1(k)
The undersigned acknowledge and agree that the foregoing statement on Schedule 13G, is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G, shall be filed on behalf of each of the undersigned without the necessity of filing additional joint acquisition statements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him or it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the others, except to the extent that he or it knows or has reason to believe that such information is inaccurate.
Dated: February 14, 2022
ALPHA WAVE GLOBAL, LP | |||
| By: | /s/ Richard Gerson | ||
| Richard Gerson, Chairman and CIO | |||
| By: | /s/ Richard Gerson | ||
| RICHARD GERSON | |||