18/11/2024 | Press release | Distributed by Public on 18/11/2024 22:15
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Klein Michael Stuart 640 FIFTH AVENUE, 14TH FLOOR NEW YORK, NY 10019 |
X | X | ||
M. Klein Associates, Inc. 640 FIFTH AVENUE, 14TH FLOOR NEW YORK, NY 10019 |
X | X | ||
AltC Sponsor LLC 640 FIFTH AVENUE, 14TH FLOOR NEW YORK, NY 10019 |
X | X |
/s/ Michael Klein | 11/18/2024 |
**Signature of Reporting Person | Date |
M. Klein Associates, Inc. /s/ Jay Taragin Name: Jay Taragin Title: Authorized Person | 11/18/2024 |
**Signature of Reporting Person | Date |
AltC Sponsor LLC By: M. Klein Associates, Inc., its Manager By: /s/ Jay Taragin Name: Jay Taragin Title: Authorized Person | 11/18/2024 |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents pro rata distribution by AltC Sponsor LLC (the "Sponsor") to its members (the "Distribution") following the business combination of AltC Acquisition Corp. with Oklo Inc., which closed on May 9, 2024. No consideration was paid in connection with the transaction reported herein. |
(2) | 212,920 of the shares reported (the "Shares") are held of record by M. Klein Associates, Inc. and 287,100 of the Shares are held of record by Allies Capital Corp., each of which received the Shares in the Distribution. Michael Klein is the controlling stockholder of M. Klein Associates, Inc., which is the managing member of the Sponsor. Michael Klein is the sole stockholder of Allies Capital Corp. |
(3) | Represents shares of Class A common stock directly held by M. Klein & Company, LLC. Klein Michael Stuart has a minority interest in M. Klein & Company, LLC. The filing of this statement shall not be an admission that, for purpose of Section 16 under the Securities Exchange Act of 1934, as amended, or otherwise, Klein Michael Stuart is the beneficial owner of any securities reported herein. Klein Michael Stuart disclaims beneficial ownership of any securities of the Issuer except to the extent of Klein Michael Stuart's pecuniary interest therein. |