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
What is insider trading>>
- Peter Lynch
What is insider trading>>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
Lilium NV
(Name of Issuer)
Class A Ordinary Shares
(Title of Class of Securities)
N52586109
(CUSIP Number)
September 24, 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:
| ☐ |
Rule 13d-1(b)
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| ☒ |
Rule 13d-1(c)
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| ☐ |
Rule 13d-1(d)
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13G
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1
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NAMES OF REPORTING PERSONS
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LGT Global Invest Ltd (1)
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||||
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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||||
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(a)☑
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|||||
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Cayman Islands
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||||
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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0
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6
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SHARED VOTING POWER
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8,808,206
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7
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SOLE DISPOSITIVE POWER
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0
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8
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SHARED DISPOSITIVE POWER
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8,808,206
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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8,808,206
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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||||
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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3.1%(2)
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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FOOTNOTES
| (1) |
LGT Global Invest Ltd is beneficially owned by H.S.H. Reigning Prince Hans-Adam II. von und zu Liechtenstein.
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| (2) |
The percentages used herein are calculated based on 284,110,059 Class A Ordinary Shares (“Shares”) outstanding as of September 15, 2021.
|
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CUSIP No. N52586109
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13G
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1
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NAMES OF REPORTING PERSONS
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Lightrock Growth Fund I S.A., SICAV-RAIF (1)
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)☑
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Luxembourg
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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0
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6
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SHARED VOTING POWER
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6,982,558
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7
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SOLE DISPOSITIVE POWER
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0
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8
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SHARED DISPOSITIVE POWER
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6,982,558
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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6,982,558
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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2.5% (2)
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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FOOTNOTES
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(1)
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Lightrock Growth Fund I S.A., SICAV-RAIF (“Lightrock Growth Fund I”) is owned (over 98% of the Shares) by Financial Investments SPC and Lightrock Evergreen Fund SICAV. Reigning Prince Hans-Adam II. von und zu
Liechtenstein is the ultimate beneficial owner of Lightrock Growth Fund I according to local applicable laws of Luxembourg.
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(2)
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The percentages used herein are calculated based on 284,110,059 Shares outstanding as of September 15, 2021.
|
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CUSIP No. N52586109
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13G
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1
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NAMES OF REPORTING PERSONS
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Stiftung Fuerst Liechtenstein III (1)
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)☑
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Liechtenstein
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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0
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6
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SHARED VOTING POWER
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2,500,000
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7
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SOLE DISPOSITIVE POWER
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0
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8
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SHARED DISPOSITIVE POWER
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2,500,000
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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2,500,000
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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0.9% (2)
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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FOOTNOTES
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(1)
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Stiftung Fuerst Liechtenstein III is beneficially owned by H.S.H. Reigning Prince Hans-Adam II. von und zu Liechtenstein.
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(2)
|
The percentages used herein are calculated based on 284,110,059 Shares outstanding as of September 15, 2021.
|
|
CUSIP No. N52586109
|
13G
|
|
1
|
NAMES OF REPORTING PERSONS
|
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||
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H.S.H. Reigning Prince Hans-Adam II. von und zu Liechtenstein
|
|
|
|||
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|
||||
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2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(a)☑
|
|||||
|
(b)☐
|
|
|
|||
|
3
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SEC USE ONLY
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| |
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|
|||
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||||
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Liechtenstein
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||||
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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0
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|||
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||||
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6
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SHARED VOTING POWER
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18,290,764
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||||
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7
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SOLE DISPOSITIVE POWER
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0
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|||
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||||
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8
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SHARED DISPOSITIVE POWER
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18,290,764
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||||
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
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|
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18,290,764
|
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|
|||
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|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
|
|
|
|||
|
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|
||||
|
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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6.4%(2)
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|||
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||||
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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|||
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||||
FOOTNOTES
| (1) |
H.S.H. Reigning Prince Hans-Adam II. von und zu Liechtenstein beneficially owns both LGT Global Invest Ltd and Stiftung Fuerst Liechtenstein III.
|
| (2) |
The percentages used herein are calculated based on 284,110,059 Shares outstanding as of September 15, 2021.
|
|
CUSIP No. N52586109
|
13G
|
|
Item 1
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(a).
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Name of Issuer:
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Lilium NV
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Item 1
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(b).
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Address of Issuer's Principal Executive Offices:
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Claude-Dornier Straße 1, Bldg. 335,
D - 82234 Wessling, Germany
|
Item 2
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(a).
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Name of Person Filing:
|
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i)
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LGT Global Invest Ltd
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ii)
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Lightrock Growth Fund I S.A., SICAV-RAIF
|
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iii)
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Stiftung Fuerst Liechtenstein III
|
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iv)
|
H.S.H. Reigning Prince Hans-Adam II. von und zu Liechtenstein
|
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Item 2
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(b).
|
Address of Principal Business Office or, if None, Residence:
|
| i) |
LGT Global Invest Ltd
|
Grand Pavilion Commercial Centre
1st Floor, 802 West Bay Road
Grand Cayman KY1-1203
Cayman Islands
| ii) |
Lightrock Growth Fund I
|
8, rue Lou Hemmer
L-1748 Senningerberg
Grand Duchy of Luxembourg
| iii) |
Stiftung Fuerst Liechtenstein III
|
Bergstrasse 5, 9490
Vaduz, Liechtenstein
| iv) |
H.S.H. Reigning Prince
Hans-Adam II. von und zu Liechtenstein
|
Fürst-Franz-Josef-Strasse 150, FL-9490
Vaduz, Liechtenstein
|
Item 2
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(c).
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Citizenship:
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The Netherlands.
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Item 2
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(d).
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Title of Class of Securities:
|
Class A Ordinary Shares.
|
Item 2
|
(e).
|
CUSIP Number:
|
N52586109.
| Item 3. |
If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
|
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(a)
|
☐
|
Broker or dealer registered under Section 15 of the Act;
|
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(b)
|
☐
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Bank as defined in Section 3(a)(6) of the Act;
|
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(c)
|
☐
|
Insurance Company as defined in Section 3(a)(19) of the Act;
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(d)
|
☐
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Investment Company registered under Section 8 of the Investment Company Act;
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(e)
|
☐
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Investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
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(f)
|
☐
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Employee benefit plan or endowment plan in accordance with Rule 13d-1(b)(1)(ii)(F);
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(g)
|
☐
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Parent holding company or control person, in accordance with Rule 13d-1(b)(1)(ii)(G);
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(h)
|
☐
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;
|
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(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: |
|
(j)
|
☐
|
Group, in accordance with Rule 13d-1(b)(1)(ii)(j).
|
|
|
☒
;
|
If this statement is filed pursuant to Rule 13d-1(c), check this box. |
| Item 4. |
Ownership.
|
Provide the following information regarding the aggregate number and percentage of the class of securities identified in Item 1.
|
(a)
|
Amount beneficially owned: 18,290,764 |
|
(b)
|
Percent of class: 6.4%*
|
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(c)
|
Number of shares as to which such person has:
|
| (i) |
Sole power to vote or to direct the vote: 0
|
| (ii) |
Shared power to vote or to direct the vote: 18,290,764
|
| (iii) |
Sole power to dispose or to direct the disposition of: 0
|
| (iv) |
Shared power to dispose or to direct the disposition of: 18,290,764
|
* The percentages used herein are calculated based on 284,110,059 Shares outstanding as of September 15, 2021.
Instruction. For computations regarding securities which represent a right
to acquire an underlying security, see Rule 13d-3(d)(1).
| Item 5. |
Ownership of Five Percent or Less of a Class.
|
If the 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.
|
N/A
| Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
|
N/A
| Item 8. |
Identification and Classification of Members of the Group.
|
N/A
| Item 9. |
Notice of Dissolution of Group.
|
N/A
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.
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.
|
LGT GLOBAL INVEST LTD
|
|||
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By:
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/s/ Alison Lomax
|
||
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Name: Alison Lomax
|
|||
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Title: Director
|
|||
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By:
|
/s/ Darren Stainrod
|
||
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Name: Darren Stainrod
|
|||
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Title: Director
|
|||
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Date: September 24, 2021
|
|||
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LIGHTROCK GROWTH FUND I S.A., SICAV-RAIF
|
|||
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By:
|
/s/
Claude Radoux
|
||
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Name: Claude Radoux
|
|||
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Title: Director
|
|||
|
By:
|
/s/ Robert Schlachter
|
||
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Name: Robert Schlachter
|
|||
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Title: Director
|
|||
|
Date: September 24, 2021
|
|||
|
STIFTUNG FUERST LIECHTENSTEIN III
|
|||
|
By:
|
/s/ H.S.H. Reigning Prince Hans-Adam II.
von und zu Liechtenstein
|
||
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Name: H.S.H. Reigning Prince Hans-Adam II.
von und zu Liechtenstein
|
|||
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Title: Board Member
|
|||
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By:
|
/s/ Martin Koba
|
||
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Name: Martin Koba
|
|||
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Title: Director
|
|||
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Date: September 24, 2021
|
|||
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H.S.H. REIGNING PRINCE HANS-ADAM II. VON UND ZU LIECHTENSTEIN
|
|||
|
By:
|
/s/ H.S.H. Reigning Prince Hans-Adam II.
von und zu Liechtenstein
|
||
|
Name: H.S.H. Reigning Prince Hans-Adam II.
von und zu Liechtenstein
|
|||
|
Title: Director
|
|||
|
Date: September 24, 2021
|
|||