0001209191-21-006469.txt : 20210201
0001209191-21-006469.hdr.sgml : 20210201
20210201165701
ACCESSION NUMBER: 0001209191-21-006469
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210129
FILED AS OF DATE: 20210201
DATE AS OF CHANGE: 20210201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Chen David Yi-Ping
CENTRAL INDEX KEY: 0001834816
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39288
FILM NUMBER: 21577498
MAIL ADDRESS:
STREET 1: C/O APPHARVEST, INC.
STREET 2: 401 W. MAIN STREET, SUITE 321
CITY: LEXINGTON
STATE: KY
ZIP: 40507
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: 401 W. MAIN STREET, SUITE 321
CITY: LEXINGTON
STATE: KY
ZIP: 40507
BUSINESS PHONE: (606) 653-6100
MAIL ADDRESS:
STREET 1: 401 W. MAIN STREET, SUITE 321
CITY: LEXINGTON
STATE: KY
ZIP: 40507
FORMER COMPANY:
FORMER CONFORMED NAME: Novus Capital Corp
DATE OF NAME CHANGE: 20200325
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-01-29
0
0001807707
AppHarvest, Inc.
APPH
0001834816
Chen David Yi-Ping
C/O APPHARVEST, INC.
401 W. MAIN STREET, SUITE 321
LEXINGTON
KY
40507
1
0
0
0
Common Stock
2021-01-29
4
A
0
3293985
A
3293985
I
See Footnote
Received pursuant to the Business Combination Agreement and Plan of Reorganization, dated as of September 28, 2020, by and among Novus Capital Corporation ("Novus"), ORGA Inc., a direct, wholly-owned subsidiary of Novus ("Merger Sub"), and AppHarvest Operations, Inc. (f/k/a AppHarvest, Inc.)("Legacy AppHarvest") pursuant to which, through a merger between Legacy AppHarvest and Merger Sub, Legacy AppHarvest became a direct, wholly-owned subsidiary of Novus, which subsequently changed its name to AppHarvest, Inc. (the "Issuer").
These securities are held of record by CEFF AppHarvest Equity Holdings, LLC ("CEFF AppHarvest"). CEFF AppHarvest is a subsidiary of Controlled Environment Foods Fund (AIV II), LLC, both of which are managed by EqCEF I, LLC ("Eq Manager"). Eq Manager appoints an investment committee which holds voting and dispositive power over the shares held by CEFF AppHarvest and is currently comprised of R. Thomas Amis, Dave Chen, John J. Pierrepont and Marco de Bruin. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein.
/s/ Katie Kazem, Attorney-in-Fact
2021-02-01