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AEye, Inc. — Major Shareholding Notification 2021
Feb 11, 2021
34226_mrq_2021-02-11_1318ebb8-1a49-4909-8343-3326a74e598c.zip
Major Shareholding Notification
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SC 13G/A 1 p21-0406sc13ga.htm CF FINANCE ACQUISITION CORP. III
| SECURITIES AND EXCHANGE COMMISSION | |
|---|---|
| Washington, D.C. 20549 | |
| SCHEDULE 13G/A | |
| Under the Securities Exchange Act of 1934 | |
| (Amendment No. 1)* | |
| CF Finance | |
| Acquisition Corp. III | |
| (Name of Issuer) | |
| Class A Common | |
| Stock, par value $0.0001 per share | |
| (Title of Class of Securities) | |
| 12529D108 | |
| (CUSIP Number) | |
| December | |
| 31, 2020 | |
| (Date of event which requires filing of this statement) | |
| Check the appropriate box to designate the rule pursuant to which this Schedule 13G is filed: | |
| ¨ | Rule 13d-1(b) |
| x | Rule 13d-1(c) |
| ¨ | Rule 13d-1(d) |
| (Page 1 of 8 Pages) |
*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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CUSIP No. 12529D108 13G/A Page 2 of 8 Pages
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| 1 | NAMES OF REPORTING PERSONS Highbridge Capital Management, LLC | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ¨ (b) ¨ |
| 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 1,300,000 shares of Class A Common Stock | |
| 7 | SOLE DISPOSITIVE POWER 0 | |
| 8 | SHARED DISPOSITIVE POWER 1,300,000 shares of Class A Common Stock | |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,300,000 shares of Class A Common Stock | |
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.53% | |
| 12 | TYPE OF REPORTING PERSON IA, OO |
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CUSIP No. 12529D108 13G/A Page 3 of 8 Pages
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| 1 | NAMES OF REPORTING PERSONS Highbridge Tactical Credit Master Fund, L.P. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ¨ (b) ¨ |
| 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 1,300,000 shares of Class A Common Stock | |
| 7 | SOLE DISPOSITIVE POWER 0 | |
| 8 | SHARED DISPOSITIVE POWER 1,300,0000 shares of Class A Common Stock | |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,300,000 shares of Class A Common Stock | |
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.53% | |
| 12 | TYPE OF REPORTING PERSON PN |
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CUSIP No. 12529D108 13G/A Page 4 of 8 Pages
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| Item 1(a). |
|---|
| The name of the issuer is CF Finance Acquisition Corp. III (the " Company "). |
| Item 1(b). |
|---|
| The Company's principal executive offices are located at 110 East 59th Street, New York, NY 10022. |
| Item 2(a). | NAME OF PERSON FILING: |
|---|---|
| Item 2(b). | ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: |
| Item 2(c). | CITIZENSHIP: |
| This statement is filed by: | |
|---|---|
| (i) | Highbridge Capital Management, LLC 277 Park Avenue, 23 rd Floor New York, New York 10172 Citizenship: State of Delaware |
| (ii) | Highbridge Tactical Credit Master Fund, L.P. 277 Park Avenue, 23 rd Floor New York, New York 10172 Citizenship: State of Delaware |
| The foregoing persons are hereinafter sometimes collectively referred to as the " Reporting Persons ." |
| Item 2(d). |
|---|
| Class A common stock, par value $0.0001 per share (the " Class A Common Stock "). |
| Item 2(e). |
|---|
| 12529D108 |
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:
| (a) | ¨ | Broker or dealer registered under Section 15 of the Act, |
|---|---|---|
| (b) | ¨ | Bank as defined in Section 3(a)(6) of the Act, |
| (c) | ¨ | Insurance Company as defined in Section 3(a)(19) of the Act, |
| (d) | ¨ | Investment Company registered under Section 8 of the Investment Company Act of 1940, |
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CUSIP No. 12529D108 13G/A Page 5 of 8 Pages
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(e) ¨ An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
| (f) | ¨ | Employee Benefit Plan or Endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F), |
|---|---|---|
| (g) | ¨ | Parent Holding Company or control person in accordance with Rule 13d-1(b)(1)(ii)(G), |
| (h) | ¨ | Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act, |
| (i) | ¨ | A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; |
| (j) | ¨ | A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); |
| (k) | ¨ | Group, in accordance with Rule 13d-1(b)(1)(ii)(K). |
If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution:_____
| Item 4. |
|---|
| (a) Amount beneficially owned: |
| As of December 31, 2020, (i) Highbridge Capital Management, LLC, as the trading manager of Highbridge Tactical Credit Master Fund, L.P., may have been deemed to be the beneficial owner of the 1,300,000 shares of Class A Common Stock held by Highbridge Tactical Credit Master Fund, L.P. and (ii) Highbridge Tactical Credit Master Fund, L.P. may have been deemed to be the beneficial owner of the 1,300,000 shares of Class A Common Stock held by it. |
| (b) Percent of class: |
| The percentages used herein and in the rest of this Schedule 13G are calculated based upon 23,500,000 shares of Class A Common Stock outstanding, as reported in the Company's Prospectus filed pursuant to Rule 424(b)(4) with the Securities and Exchange Commission on November 13, 2020 and the Company's Current Report on Form 8-K filed with the Securities and Exchange Commission on November 23, 2020, after giving effect to the completion of the offering and the full exercise of the underwriters' over-allotment option, as described therein. |
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CUSIP No. 12529D108 13G/A Page 6 of 8 Pages
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| Therefore, as of December 31, 2020, (i) Highbridge Capital Management, LLC, as the trading manager of Highbridge Tactical Credit Master Fund, L.P., may have been deemed to beneficially own approximately 5.53% of the outstanding shares of Class A Common Stock held by Highbridge Tactical Credit Master Fund, L.P. and (ii) Highbridge Tactical Credit Master Fund, L.P. may have been deemed to beneficially own approximately 5.53% of the outstanding shares of Class A Common Stock held by it. |
|---|
| The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of the shares of Class A Common Stock held by Highbridge Tactical Credit Master Fund, L.P. |
| (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 |
| See Item 4(a) |
| (iii) Sole power to dispose or to direct the disposition of |
| 0 |
| (iv) Shared power to dispose or to direct the disposition of |
| See |
| Item 4(a) |
| Item 5. |
|---|
| Not applicable. |
| Item 6. |
|---|
| Not applicable. |
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CUSIP No. 12529D108 13G/A Page 7 of 8 Pages
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| Item 7. |
|---|
| Not applicable. |
| Item 8. |
|---|
| Not applicable. |
| Item 9. |
|---|
| Not applicable. |
ITEM 10. CERTIFICATION.
| Each Reporting Person hereby makes the following certification: |
|---|
| By signing below the Reporting Person certifies that, to the best of its 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. |
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CUSIP No. 12529D108 13G/A Page 8 of 8 Pages
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SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.
DATED: February 11, 2021
| HIGHBRIDGE CAPITAL MANAGEMENT, LLC | |
|---|---|
| By: | /s/ Kirk Rule |
| Name: | Kirk Rule |
| Title: | Executive Director |
| HIGHBRIDGE TACTICAL CREDIT MASTER FUND, L.P. | |
| By: | Highbridge Capital Management, LLC its Trading Manager |
| By: | /s/ Kirk Rule |
| Name: | Kirk Rule |
| Title: | Executive Director |