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