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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NOMURA GLOBAL FINANCIAL PRODUCTS INC 309 WEST 49TH STREET NEW YORK, NY 10019 |
X | |||
NOMURA HOLDINGS INC 9-1 NIHONBASHI 1-CHOME CHUO-KU TOKYO, M0 103-8645 |
X |
/s/ Jonathan Raiff, Senior Managing Director, Nomura Global Financial Products Inc | 12/03/2019 | |
**Signature of Reporting Person | Date | |
/s/ Tsutomu Takemura, Senior Managing Director, Nomura Holdings Inc | 12/03/2019 | |
**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). |
Remarks: There are no transactions reported on this Form 4, which is being filed solely to report that the reporting persons are no longer 10% Owners of Kaleyra, Inc. (the "Issuer"). As a result, the reporting persons are no longer subject to Section 16 of the Securities Exchange Act of 1934 in connection with their transactions in the equity securities of the Issuer, and therefore the reporting persons will no longer report any such transaction on Form 4 or Form 5. The reporting persons are no longer 10% Owners of the Issuer solely due to an increase in the number of shares of common stock, par value $0.0001 per share, of the Issuer that are outstanding; the reporting persons have not acquired or disposed of any securities of the Issuer since the reporting persons filed their Form 3 with the SEC on November 25, 2019. |