Form 4 for OPTX SYNTEC OPTICS HOLDINGS, INC.
Accepted 2023-04-05 00:00:00 ET · period of report 2023-04-03 · accession 0001493152-23-010930 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2023-04-05 | 2023-04-03 | OPTX | OmniLit Sponsor, LLC | 10% | C - Cnv Deriv | $0.00 | +3.00M | 3.00M | New | $0 |
| DI | 2023-04-05 | 2023-04-03 | OPTX | OmniLit Sponsor, LLC | 10% | C - Cnv Deriv | $0.00 | +3.00M | 0 | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2023-04-03 | C | A | 3,000,000 | $0.00 | 3,000,000 | I by OmniLit Sponsor LLC | — | — | (F2) These shares are owned directly by OmniLit Sponsor LLC, a ten percent owner of the issuer, and indirectly by its managing member, Al Kapoor. Al Kapoor has voting and investment discretion with respect to the shares held by OmniLit Sponsor LLC, and as such, he may be deemed to have beneficial ownership of the Class B common stock held directly by OmniLit Sponsor LLC. Al Kapoor disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. |
| 2 | Derivative | Class B Common Stock | 2023-04-03 | C | A | 3,000,000 | $0.00 | 0 | I by OmniLit Sponsor LLC | $0.00 · — to — | 3,000,000 Class A Common Stock | (F1) Per amendment to the Amended and Restated certificate of incorporation, Class B Common Stock of the Company ("Founder Shares") have the right to convert into Class A Common Stock on a one-for-one basis prior to the closing of a business combination at the election of the holder. (F2) These shares are owned directly by OmniLit Sponsor LLC, a ten percent owner of the issuer, and indirectly by its managing member, Al Kapoor. Al Kapoor has voting and investment discretion with respect to the shares held by OmniLit Sponsor LLC, and as such, he may be deemed to have beneficial ownership of the Class B common stock held directly by OmniLit Sponsor LLC. Al Kapoor disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. |