美国
证券交易委员会
华盛顿特区20549
附表13D/A
(第二修正案)*
根据1934年证券交易法
Reed's,公司。
(发行人名称)
每股普通股的面值为$0.0001
(证券种类的标题)
758338107
(CUSIP编号)
刘宁律师
金杜律师事务所
第50层,第五大道500号
纽约,NY 10110
美利坚合众国
电话:+1 212 319 4755
(被授权人的姓名、地址和
电话号码
如果申报人以前已根据13G表格申报了本13D表格所涉及的收购事项,并因为§§240.13d-1(e)、240.13d-1(f)或240.13d-1(g)而申报此表,勾选以下方框☐。
2024年10月22日
(需要报告此声明的事件日期)
如果申报人先前已根据表格13G提交了一份声明,以报告本表格13D/A所涉及的收购,并且正在根据§§240.13d-1(e)、240.13d-1(f)或240.13d-1(g)提交此表格,请选中以下方框。 ¨
注:以书面形式提交的附表需包含签字原本和五份副本,包括所有的附件。有关应寄送副本的其他当事方,请参阅§240.13d-7。
*此封面的剩余部分应填写以报告 人在此表格上对于主体证券类别的初始申报,以及任何包含 可能改变先前封面提供的披露的信息的后续修订。
在本封面上所需的其他信息不应视为根据1934年证券交易法(“法案”)第18条的规定而进行“备案”,也不应视为受该法案该部分的任何责任,但应受该法案的所有其他规定的约束(但请参阅注释)。
本13D / A表修订并完整重述了报告人于2024年9月10日向SEC提交的13D / A表陈述。
CUSIP编号758338107 |
1 |
报告人名称 D&D 生命之源控股有限公司。 | |||
2 |
如果属于集体企业,则选中适当的框(请参阅说明书) (a) ¨ (b) ¨ | |||
3 | 仅供SEC使用 | |||
4 |
资金来源(请参阅说明)。 未知 | |||
5 | 如果根据2(d)或2(e)条款需要披露法律诉讼,请选中复选框 ¨ | |||
6 |
公民身份或组织地点 开曼群岛 | |||
持有的受益股份数量 每个报告人持有的受益股份数量 有益的 拥有人 每个 报告的 每个报告人持有的受益股份数量 随同 |
7 |
唯一拥有投票权的股份数量 4,661,445(包括行权后可增发的232,108股warrants) | ||
8 |
具有共同投票权 0 | |||
9 |
具有唯一处理权 4,661,445(包括行权后可增发的232,108股warrants) | |||
10 |
具有共同处理权 0 | |||
11 |
每位报告人受益拥有的合计数量 4,661,445(包括行权后可增发的232,108股warrants) | |||
12 | 如果第(11)行的合计金额不包括某些股票,请勾选此框(请参阅说明) ¨ | |||
13 |
在第11行所代表的金额占课程的百分比 55.4%1 | |||
14 |
报告人类型(请参阅说明) CO | |||
1 每个报告人所拥有的有利证券类别的百分比是基于已行使的认股权证来计算的。该百分比是使用8419399的分母计算的,该分母是根据以下之和计算的:(i) 2024年8月1日尚未公布的4,187,291股普通股,披露在于2024年8月13日提交的发行人的10-Q表格中 (ii) 股票购买协议结束时发行的4,000,000股普通股和 (iii) 目前可行使的232,108份认股权证。
CUSIP编号758338107 |
1 |
报告人名称 邓淑芬 | |||
2 |
如果属于集体企业,则选中适当的框(请参阅说明书) (a) ¨ (b) ¨ | |||
3 | 仅供SEC使用 | |||
4 |
资金来源(请参阅说明)。 未知 | |||
5 | 如根据2(d)或2(e)项需要披露法律诉讼,请√复选框 ¨ | |||
6 |
公民身份或组织地点 中国香港特别行政区,中华人民共和国 | |||
持有的受益股份数量 每个报告人持有的受益股份数量 有益的 拥有人 每个 报告的 每个报告人持有的受益股份数量 随同 |
7 |
唯一拥有投票权的股份数量 4,661,445(包括行权后可增发的232,108股warrants) | ||
8 |
具有共同投票权 0 | |||
9 |
具有唯一处理权 4,661,445(包括行权后可增发的232,108股warrants) | |||
10 |
具有共同处理权 0 | |||
11 |
每位报告人受益拥有的合计数量 4,661,445(包括行权后可增发的232,108股warrants) | |||
12 | 如果第(11)行的累积金额不包括某些股票,请在复选框内打勾(请参阅说明) ¨ | |||
13 |
在第11行所代表的金额占课程的百分比 55.4%1 | |||
14 |
报告人类型(请参阅说明) 所在 | |||
项目1。 | 证券和发行人。 |
本13D/A报表涉及的股票类别是Reed's, Inc.的普通股,每股面值为0.0001美元,是一家位于特拉华州的公司(以下简称“该公司”)。 该公司的主要行政办公地址位于诺沃克邮区,康涅狄格州,06851号,Merritt 7大道201号。
事项二 | 身份和背景。 |
(a) D&D 生命之源控股有限公司(“D&D”)和邓淑芬在此被称为“报告人”, 每个人都是“报告人”。本13D/A表格代表报告人共同提交。报告人之间签署的联合申报协议作为附件A附在此处。
邓淑芬是D&D的唯一股东,可能被视为对D&D直接持有的发行人证券拥有投票和处置权。
(b) 每个报告人的主要营业地址均为开曼群岛乔治敦的Genesis Building、5楼、Genesis Close,邮政信箱446号,KY1-1106。
(c) D&D主要从事矿泉水、纯净水、苏打水、饮料和功能性饮料的生产和销售;以及各种真菌产品、功能性食品和糖替代产品的生产和销售。邓淑芬是D&D的唯一股东。
(d) 在过去五年中,报告人中没有人因犯罪行为(不包括交通违规或类似轻罪)而被判有罪。
(e)在过去的五年中,任何报告人都没有作为有管辖权的司法或行政机构的民事诉讼的一方,并因此被判处,或有法律根据,禁止或指定履行遵守联邦或州证券法律或发现任何与该等法律有关的违规行为。
(f) 每个报告人的国籍如下:
D&D:开曼群岛;
邓淑芬:中国人民共和国香港特别行政区。
Item 3. | Source and Amount of Funds or Other Consideration. |
Funds for the purchase of the secured promissory notes reported herein were derived from general working capital of D&D.
The information set forth in Item 4 of this Statement is incorporated by reference in this Item 3.
Item 4. | Purpose of Transaction. |
On September 6, 2024, Whitebox Multi-Strategy Partners, LP, Whitebox Relative Value Partners, LP, Pandora Select Partners, LP and Whitebox GT Fund, LP (collectively, “Whitebox”) and D&D entered into a purchase and sale agreement (the “Purchase Agreement”), pursuant to which D&D agreed to purchase eight secured promissory notes (the “Notes”) from Whitebox at a total purchase price of $17,878,248.17 (the “Note Purchase”). The Notes contain customary affirmative and negative covenants and events of default. The Notes are secured by substantially all of the Issuer’s assets (including all the Issuer’s intellectual property). The Purchase Agreement was amended respectively on September 11, 2024 and October 10, 2024 to extend the closing date, and the Note Purchase transaction was closed on October 22, 2024.
Part of the Notes are unconvertible and part of the Notes are convertible but subject to certain limitations, including a beneficial ownership limitation. A conversion of the Notes shall not cause the holder, together with its affiliates and attribution parties, to beneficially own more than 9.9% of the number of shares of common stock outstanding immediately after giving effect to the issuance of shares of common stock upon conversion. Because the Reporting Persons already have 55.4% of the Company, the Reporting Persons would not be able to convert the Notes into shares of common stock of the Company.
The Reporting Persons intend to review their investment in the Issuer on an ongoing basis and, in the course of their review, may take actions (including through their affiliates) with respect to their investment or the Issuer, including communicating with the board of directors of the Issuer, members of management or other security-holders of the Issuer, lenders to the Issuer, or other third parties from time to time, taking steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review, and evaluating strategic alternatives as they may become available. Such discussions and actions may be preliminary and exploratory in nature, and not rise to the level of a plan or proposal. Notwithstanding anything contained herein, the Reporting Persons specifically reserve the right to change their intention with respect to any or all of such matters. In reaching any decision as to their course of action (as well as to the specific elements thereof), the Reporting Persons currently expect that they would take into consideration a variety of factors, including, but not limited to, the following: the Issuer’s business and prospects; other developments concerning the Issuer and its businesses generally; other business opportunities available to the Reporting Persons; changes in law and government regulations; general economic conditions; and money and stock market conditions, including the market price of the securities of the Issuer. The Reporting Persons may also take one or more actions described in subparagraphs (a) – (j) of Item 4 of Schedule 13D.
Item 5. | Interest in Securities of the Issuer. |
(a)–(b) The responses of each Reporting Person to Rows (7) to (13) of the cover pages of this Schedule 13D/A are hereby incorporated by reference in this Item 5. The percentage of the class of securities beneficially owned by each Reporting Person used in this Schedule 13D/A as of the date hereof is calculated based on the sum of (i) 4,187,291 shares of common stock outstanding as of August 1, 2024 as disclosed in the Issuer’s Form 10-Q filed on August 13, 2024 and (ii) 4,000,000 shares of common Stock issued upon the closing of the Purchase Agreement.
Except as disclosed in this Schedule 13D/A, none of the Reporting Persons presently has the power to vote or to direct the vote or to dispose or direct the disposition of any of the ordinary shares which it may be deemed to beneficially own.
(c) Not applicable.
(d) No person other than the persons listed is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, any securities owned by either of the Reporting Persons.
(e) Not applicable.
Item 6. | Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. |
The information set forth in Item 4 of this Statement is incorporated by reference in this Item 6.
To the best knowledge of the Reporting Persons, except as provided herein, there are no other contracts, arrangements, understandings or relationships (legal or otherwise) between any of the Reporting Persons and any other person with respect to any securities of the Issuer, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, divisions of profits or loss, or the giving or withholding of proxies, or a pledge or contingency, the occurrence of which would give another person voting power over the securities of the Issuer.
Item 7. | Materials to be Filed as Exhibits. |
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: October 22, 2024
D&D Source of Life Holding Ltd. | By: | /s/ DENG Shufen |
Name: | DENG Shufen | |
Title: | Director | |
DENG Shufen | By: | /s/ DENG Shufen |