Initial Statement of Beneficial Ownership (3)
22 Mayo 2020 - 4:15PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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1. Name and Address of Reporting Person
*
Polar Asset Management Partners Inc. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/14/2020
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3. Issuer Name and Ticker or Trading Symbol
Tottenham Acquisition I Ltd [TOTA]
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(Last)
(First)
(Middle)
401 BAY STREET, SUITE 1900, P.O. BOX 19 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
TORONTO, A6 M5H 2Y4
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Ordinary shares | 450000 | I | See footnote (1), (2) (1)(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Polar Asset Management Partners Inc., a company incorporated under the laws of Ontario, Canada (the "Reporting Person"), serves as investment advisor to Polar Multi-Strategy Master Fund, a Cayman Islands exempted company ("PMSMF"), and has sole voting and investment discretion with respect to the securities reported herein which are held by PMSMF. The Reporting Person disclaims beneficial ownership of the securities reported herein, and this report shall not be deemed an admission that Reporting Person is the beneficial owner of the securities reported herein for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, except to the extent of Reporting Person's pecuniary interest therein. |
(2) | This Form 3 is being filed solely as a result of Tottenham Acquisition I Limited reporting in its quarterly report on Form 10-Q, filed May 14, 2020, a decrease in its ordinary shares outstanding to 3,710,386 ordinary shares outstanding. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Polar Asset Management Partners Inc. 401 BAY STREET SUITE 1900, P.O. BOX 19 TORONTO, A6 M5H 2Y4 |
| X |
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Signatures
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POLAR ASSET MANAGEMENT PARTNERS INC. /s/ Greg Lemaich, General Counsel | | 5/22/2020 |
**Signature of Reporting Person | Date |
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