美國
證券交易委員會
華盛頓特區20549
附表13D/A
(第二修正案)*
根據1934年證券交易法
Reed's,公司。
(發行人名稱)
每股普通股的面值爲$0.0001
(證券種類的標題)
758338107
(CUSIP編號)
劉寧律師
金杜律師事務所
第50層,第五大道500號
紐約,NY 10110
美利堅合衆國
電話:+1 212 319 4755
(被授權人的姓名、地址和
電話號碼
如果申報人以前已根據13G表格申報了本13D表格所涉及的收購事項,並因爲§§240.13d-1(e)、240.13d-1(f)或240.13d-1(g)而申報此表,勾選以下方框☐。
2024年10月22日
(需要報告此聲明的事件日期)
如果申報人先前已根據表格13G提交了一份聲明,以報告本表格13D/A所涉及的收購,並且正在根據§§240.13d-1(e)、240.13d-1(f)或240.13d-1(g)提交此表格,請選中以下方框。 ¨
注:以書面形式提交的附表需包含簽字原本和五份副本,包括所有的附件。有關應寄送副本的其他當事方,請參閱§240.13d-7。
*此封面的剩餘部分應填寫以報告 人在此表格上對於主體證券類別的初始申報,以及任何包含 可能改變先前封面提供的披露的信息的後續修訂。
在本封面上所需的其他信息不應視爲根據1934年證券交易法(「法案」)第18條的規定而進行「備案」,也不應視爲受該法案該部分的任何責任,但應受該法案的所有其他規定的約束(但請參閱註釋)。
本13D / A表修訂並完整重述了報告人於2024年9月10日向SEC提交的13D / A表陳述。
CUSIP編號758338107 |
1 |
報告人名稱 D&D 生命之源控股有限公司。 | |||
2 |
如果屬於集體企業,則選中適當的框(請參閱說明書) (a) ¨ (b) ¨ | |||
3 | 僅供SEC使用 | |||
4 |
資金來源(請參閱說明)。 未知 | |||
5 | 如果根據2(d)或2(e)條款需要披露法律訴訟,請選中複選框 ¨ | |||
6 |
公民身份或組織地點 開曼群島 | |||
持有的受益股份數量 每個報告人持有的受益股份數量 有益的 擁有人 每個 報告的 每個報告人持有的受益股份數量 隨同 |
7 |
唯一擁有投票權的股份數量 4,661,445(包括行權後可增發的232,108股warrants) | ||
8 |
具有共同投票權 0 | |||
9 |
具有唯一處理權 4,661,445(包括行權後可增發的232,108股warrants) | |||
10 |
具有共同處理權 0 | |||
11 |
每位報告人受益擁有的合計數量 4,661,445(包括行權後可增發的232,108股warrants) | |||
12 | 如果第(11)行的合計金額不包括某些股票,請勾選此框(請參閱說明) ¨ | |||
13 |
在第11行所代表的金額占課程的百分比 55.4%1 | |||
14 |
報告人類型(請參閱說明) CO | |||
1 每個報告人所擁有的有利證券類別的百分比是基於已行使的認股權證來計算的。該百分比是使用8419399的分母計算的,該分母是根據以下之和計算的:(i) 2024年8月1日尚未公佈的4,187,291股普通股,披露在於2024年8月13日提交的發行人的10-Q表格中 (ii) 股票購買協議結束時發行的4,000,000股普通股和 (iii) 目前可行使的232,108份認股權證。
CUSIP編號758338107 |
1 |
報告人名稱 鄧淑芬 | |||
2 |
如果屬於集體企業,則選中適當的框(請參閱說明書) (a) ¨ (b) ¨ | |||
3 | 僅供SEC使用 | |||
4 |
資金來源(請參閱說明)。 未知 | |||
5 | 如根據2(d)或2(e)項需要披露法律訴訟,請√複選框 ¨ | |||
6 |
公民身份或組織地點 中國香港特別行政區,中華人民共和國 | |||
持有的受益股份數量 每個報告人持有的受益股份數量 有益的 擁有人 每個 報告的 每個報告人持有的受益股份數量 隨同 |
7 |
唯一擁有投票權的股份數量 4,661,445(包括行權後可增發的232,108股warrants) | ||
8 |
具有共同投票權 0 | |||
9 |
具有唯一處理權 4,661,445(包括行權後可增發的232,108股warrants) | |||
10 |
具有共同處理權 0 | |||
11 |
每位報告人受益擁有的合計數量 4,661,445(包括行權後可增發的232,108股warrants) | |||
12 | 如果第(11)行的累積金額不包括某些股票,請在複選框內打勾(請參閱說明) ¨ | |||
13 |
在第11行所代表的金額占課程的百分比 55.4%1 | |||
14 |
報告人類型(請參閱說明) 所在 | |||
項目1。 | 證券和發行人。 |
本13D/A報表涉及的股票類別是Reed's, Inc.的普通股,每股面值爲0.0001美元,是一家位於特拉華州的公司(以下簡稱「該公司」)。 該公司的主要行政辦公地址位於諾沃克郵區,康涅狄格州,06851號,Merritt 7大道201號。
事項二 | 身份和背景。 |
(a) D&D 生命之源控股有限公司(「D&D」)和鄧淑芬在此被稱爲「報告人」, 每個人都是「報告人」。本13D/A表格代表報告人共同提交。報告人之間簽署的聯合申報協議作爲附件A附在此處。
鄧淑芬是D&D的唯一股東,可能被視爲對D&D直接持有的發行人證券擁有投票和處置權。
(b) 每個報告人的主要營業地址均爲開曼群島喬治敦的Genesis Building、5樓、Genesis Close,郵政信箱446號,KY1-1106。
(c) D&D主要從事礦泉水、純淨水、蘇打水、飲料和功能性飲料的生產和銷售;以及各種真菌產品、功能性食品和糖替代產品的生產和銷售。鄧淑芬是D&D的唯一股東。
(d) 在過去五年中,報告人中沒有人因犯罪行爲(不包括交通違規或類似輕罪)而被判有罪。
(e)在過去的五年中,任何報告人都沒有作爲有管轄權的司法或行政機構的民事訴訟的一方,並因此被判處,或有法律根據,禁止或指定履行遵守聯邦或州證券法律或發現任何與該等法律有關的違規行爲。
(f) 每個報告人的國籍如下:
D&D:開曼群島;
鄧淑芬:中國人民共和國香港特別行政區。
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 |