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