0000902664-21-005113.txt : 20211126 0000902664-21-005113.hdr.sgml : 20211126 20211126174522 ACCESSION NUMBER: 0000902664-21-005113 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211124 FILED AS OF DATE: 20211126 DATE AS OF CHANGE: 20211126 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: 001-38495 FILM NUMBER: 211452344 MAIL ADDRESS: STREET 1: 1170 GORGAS AVENUE CITY: SAN FRANCISCO STATE: CA ZIP: 94129 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Nikola Corp CENTRAL INDEX KEY: 0001731289 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLES & PASSENGER CAR BODIES [3711] IRS NUMBER: 824151153 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4141 E BROADWAY ROAD CITY: PHOENIX STATE: AZ ZIP: 85040 BUSINESS PHONE: (480) 666-1038 MAIL ADDRESS: STREET 1: 4141 E BROADWAY ROAD CITY: PHOENIX STATE: AZ ZIP: 85040 FORMER COMPANY: FORMER CONFORMED NAME: VectoIQ Acquisition Corp. DATE OF NAME CHANGE: 20180213 4 1 ownership.xml X0306 4 2021-11-24 0 0001731289 Nikola Corp NKLA 0001159187 UBBEN JEFFREY W 1170 GORGAS AVENUE SAN FRANCISCO CA 94129 1 0 0 0 Common Stock, par value $0.0001 per share ("Common Stock") 2021-11-24 4 J 0 3552006 D 0 I See footnotes Common Stock 2021-11-26 4 G 0 1780438 D 37682 D Common Stock 10275437 I See footnotes Represents a pro rata in-kind distribution (the "Pro Rata Distribution") of shares of common stock of Nikola Corporation (the "Issuer") by Spring NM, LLC ("Spring NM") to the members of Spring NM without consideration. The Reporting Person is the managing member of Spring NM. The Reporting Person received 1,780,438 shares of common stock of the Issuer in the Pro Rata Distribution and subsequently made a gift of such securities. Shares of common stock issuable upon settlement of restricted stock units awarded to the Reporting Person. The Reporting Person is deemed to hold the awards for the benefit of funds (the "In-Cap Funds") managed by Inclusive Capital Partners, L.P. ("In-Cap") and In-Cap. The securities reported herein are held by the In-Cap Funds. In-Cap acts as investment manager to the In-Cap Funds. The Reporting Person indirectly controls In-Cap. The filing of this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein. /s/ Jeffrey W. Ubben 2021-11-26