Attached files
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): November 20, 2018
(November 15, 2018)
AMCI ACQUISITION CORP.
(Exact name of registrant as specified in its charter)
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Delaware
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333-227994
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83-0982969
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(State or other jurisdiction of incorporation)
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(Commission File Number)
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(IRS Employer Identification No.)
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975 Georges Station Road, Suite 900
Greensburg, PA 15601
(Address of principal executive offices, including zip code)
Registrant’s telephone number, including area code: (724) 672-4319
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under
any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or
Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use
the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 1.01. Entry into a Material Definitive Agreement.
On November 20, 2018, AMCI Acquisition Corp. (the “Company”)
consummated its initial public offering (“IPO”) of 20,000,000 units (the “Units”). Each Unit
consists of one share of Class A common stock of the Company, par value $0.0001 per share (the “Class A Common Stock”), and one warrant of the Company (“ Warrant ”), with each Warrant entitling the holder thereof to purchase one share of Class A Common Stock for $11.50 per share. The Units were sold at a price of $10.00 per
Unit, generating gross proceeds to the Company of $200,000,000. The Company has granted the underwriters in the IPO (the “Underwriters”) a 45-day option to purchase up to
3,000,000 additional Units to cover over-allotments, if any.
In connection with the IPO, the Company entered into the following agreements, forms of which were previously filed as exhibits to the
Company’s Registration Statement on Form S-1 (File No. 333-227994) for the IPO, originally filed with the U.S. Securities and Exchange Commission (the “Commission”) on
October 25, 2018 and amended by Amendment No. 1 to the Registration Statement, filed with the Commission on November 9, 2018 (as amended, the “Registration Statement”):
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An Underwriting Agreement, dated November 15, 2018, by and between the Company and Jefferies LLC, as representative of the several underwriters, a copy of which is attached
as Exhibit 1.1 hereto and incorporated herein by reference.
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A Warrant Agreement, dated November 15, 2018, by and between the Company and Continental Stock Transfer & Trust Company, as warrant agent, a copy of which is attached
as Exhibit 4.1 hereto and incorporated herein by reference.
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A Letter Agreement, dated November 15, 2018, by and among the Company, its officers, its directors and its sponsor, AMCI Sponsor LLC (the “Sponsor”), a copy of which is attached as Exhibit 10.1 hereto and incorporated herein by reference.
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An Investment Management Trust Agreement, dated November 15, 2018, by and between the Company and Continental Stock Transfer & Trust Company, as trustee, a copy of
which is attached as Exhibit 10.2 hereto and incorporated herein by reference.
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A Registration Rights Agreement, dated November 15, 2018, by and between the Company, the Sponsor and the holders party thereto, a copy of which is attached as Exhibit 10.3
hereto and incorporated herein by reference.
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An Administrative Support Agreement, dated November 15, 2018, by and between the Company and AMCI Holdings, Inc., a copy of which is attached as Exhibit 10.4 hereto and
incorporated herein by reference.
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A Private Placement Warrants Subscription Agreement, dated November 15, 2018, by and between the Company and the Sponsor, a copy of which is attached as Exhibit 10.5 hereto
and incorporated herein by reference.
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Item 3.02. Unregistered Sales of Equity Securities.
Simultaneously with the closing of the IPO, pursuant to the Private Placement Warrants Subscription Agreement, dated November 15, 2018,
by and between the Company and the Sponsor, filed as Exhibit 10.5 to this Current Report on Form 8-K, the Company completed the private sale of an aggregate of 5,500,000 (the “Private
Placement Warrants”), at a purchase price of $1.00 per Private Placement Warrant, generating gross proceeds to the Company of $5,500,000. The Sponsor has committed to purchase up to an additional 600,000 Private Placement Warrants if
the underwriters exercise their over-allotment option in full. The Private Placement Warrants are identical to the Warrants sold as part of the Units in the IPO, except that the Sponsor has agreed not to transfer, assign or sell any of the Private
Placement Warrants (except to certain permitted transferees) until 30 days after the completion of the Company’s initial business combination. The Placement Warrants are also not redeemable by the Company so long as they are held by the Sponsor or
its permitted transferees. No underwriting discounts or commissions were paid with respect to such sale. The issuance of the Private Placement Warrants was made pursuant to the exemption from registration contained in Section 4(a)(2) of the
Securities Act of 1933, as amended.
Item 5.03. Amendments to Certificate of Incorporation or Bylaws; Change in Fiscal Year.
On November 15, 2018, in connection with the IPO, the Company filed its Amended and Restated Certificate of Incorporation with Secretary
of State of the State of Delaware, effective the same day. The terms of the Amended and Restated Certificate of Incorporation are set forth in the Registration Statement and are incorporated herein by reference. A copy of the Amended and Restated
Certificate of Incorporation is attached as Exhibit 3.1 hereto and incorporated herein by reference.
Item 8.01. Other Events.
A total of $200,000,000, comprised of $196,000,000 of the proceeds from the IPO (which amount includes $7,000,000 of the underwriters’
deferred discount) and $4,000,000 of the proceeds of the sale of the Private Placement Warrants, was placed in a U.S.-based trust account at J.P. Morgan Chase Bank, N.A., maintained by Continental Stock Transfer & Trust Company, acting as
trustee. Except with respect to interest earned on the funds in the trust account that may be released to the Company to pay its taxes, the funds held in the trust account will not be released from the trust account until the earliest of (i) the
completion of the Company’s initial business combination, (ii) the redemption of any of the Company’s public shares properly submitted in connection with a stockholder vote to amend the Company’s amended and restated certificate of incorporation to
modify the substance or timing of its obligation to redeem 100% of the Company’s public shares if it does not complete its initial business combination within 18 months from the closing of the IPO or (iii) the redemption of the Company’s public
shares if it is unable to complete its initial business combination within 18 months from the closing of the IPO, subject to applicable law.
On November 15, 2018, the Company issued a press release announcing the pricing of the IPO, a copy of which is attached as Exhibit 99.1
to this Current Report on Form 8-K.
On November 20, 2018, the Company issued a press release announcing the closing of the IPO, a copy of which is attached as Exhibit 99.2
to this Current Report on Form 8-K.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
The following exhibits are being filed herewith:
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Exhibit No.
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Description
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1.1
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3.1
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4.1
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10.1
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10.2
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10.3
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10.4
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10.5
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99.1
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99.2
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
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AMCI ACQUISITION CORP.
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By:
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/s/ William Hunter
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Name:
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William Hunter
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Title:
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Chief Executive Officer
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Dated: November 20, 2018