0000902664-21-003127.txt : 20210614 0000902664-21-003127.hdr.sgml : 20210614 20210614172932 ACCESSION NUMBER: 0000902664-21-003127 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210610 FILED AS OF DATE: 20210614 DATE AS OF CHANGE: 20210614 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: UBBEN JEFFREY W CENTRAL INDEX KEY: 0001159187 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39288 FILM NUMBER: 211015651 MAIL ADDRESS: STREET 1: 1170 GORGAS AVENUE CITY: SAN FRANCISCO STATE: CA ZIP: 94129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: INCLUSIVE CAPITAL PARTNERS, L.P. CENTRAL INDEX KEY: 0001817187 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39288 FILM NUMBER: 211015650 BUSINESS ADDRESS: STREET 1: 1170 GORGAS AVENUE CITY: SAN FRANCISCO STATE: CA ZIP: 94129 BUSINESS PHONE: (415) 440-5801 MAIL ADDRESS: STREET 1: 1170 GORGAS AVENUE CITY: SAN FRANCISCO STATE: CA ZIP: 94129 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AppHarvest, Inc. CENTRAL INDEX KEY: 0001807707 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE PRODUCTION - CROPS [0100] IRS NUMBER: 845042965 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 APPALACHIAN WAY CITY: MOREHEAD STATE: KY ZIP: 40351 BUSINESS PHONE: (606) 653-6100 MAIL ADDRESS: STREET 1: 500 APPALACHIAN WAY CITY: MOREHEAD STATE: KY ZIP: 40351 FORMER COMPANY: FORMER CONFORMED NAME: Novus Capital Corp DATE OF NAME CHANGE: 20200325 4 1 ownership.xml X0306 4 2021-06-10 0 0001807707 AppHarvest, Inc. APPH 0001159187 UBBEN JEFFREY W 1170 GORGAS AVENUE SAN FRANCISCO CA 94129 1 0 1 0 0001817187 INCLUSIVE CAPITAL PARTNERS, L.P. 1170 GORGAS AVENUE SAN FRANCISCO CA 94129 1 0 1 0 Common Stock, par value $0.0001 per share ("Common Stock") 2021-06-10 4 S 0 3000000 16.50 D 8798704 I See footnotes Common Stock 3373 D The securities reported herein are held by Inclusive Capital Partners Spring Master Fund, L.P. ("In-Cap Spring Master Fund"). Inclusive Capital Partners, L.P., a Delaware limited partnership, ("In-Cap") acts as investment manager to In-Cap Spring Master Fund. Mr. Jeffrey W. Ubben ("Mr. Ubben", and together with In-Cap, the "Reporting Persons") indirectly controls In-Cap. The filing of this statement shall not be deemed an admission that either Reporting Person is the beneficial owner of the securities reported s amended, or otherwise. The Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein. Represents shares of common stock of the Issuer issuable upon settlement of a restricted stock unit award that vests on the date of the next annual meeting of the Issuer's stockholders (the "Annual Meeting") following the grant date (or the date immediately preceding the date of the Annual Meeting if the recipient's service as a director ends at such Annual Meeting as a result of the director's failure to be re-elected or the director not standing for re-election). The restricted stock unit was awarded to Mr. Ubben. Mr. Ubben is deemed to hold the award for the benefit of In-Cap Spring Master Fund and In-Cap. /s/ Jeffrey W. Ubben 2021-06-14 Inclusive Capital Partners, L.P., /s/ Philippe B. Pradel, Chief Compliance Officer 2021-06-14