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Fiscalnote Holdings Inc.

12/16/2024 | Press release | Distributed by Public on 12/16/2024 15:52

Statement of Changes in Beneficial Ownership (Form 4)

Ownership Submission
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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(Print or Type Responses)
1. Name and Address of Reporting Person *
Jain Manoj
2. Issuer Name and Ticker or Trading Symbol
FiscalNote Holdings, Inc. [NOTE]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O FISCALNOTE HOLDINGS, INC., 1201 PENNSYLVANIA AVE NW, 6TH FL
3. Date of Earliest Transaction (Month/Day/Year)
12/02/2024
(Street)
WASHINGTON, DC 20004
4. If Amendment, Date Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 12/02/2024 A 7,142(1) A $ 0 257,782 D
Class A Common Stock 606,250 I By Duddell Street Holdings Ltd(2)
Class A Common Stock 3,450,320 I By Maso Capital Investments Limited(3)(4)
Class A Common Stock 17,854,774 I By Blackwell Partners LLC - Series A(4)(5)
Class A Common Stock 7,002,387 I By Star V Partners LLC(4)(6)
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)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Jain Manoj
C/O FISCALNOTE HOLDINGS, INC.
1201 PENNSYLVANIA AVE NW, 6TH FL
WASHINGTON, DC 20004
X X
Duddell Street Holdings Ltd
C/O DUDDELL STREET ACQUISITION CORP.
8/F PRINTING HOUSE, 6 DUDDELL STREET
HONG KONG, K3 00000
X
Maso Capital Partners Ltd
C/O DUDDELL STREET ACQUISITION CORP.
8/F PRINTING HOUSE, 6 DUDDELL STREET
HONG KONG, K3 00000
X
Maso Capital Investments Ltd
C/O DUDDELL STREET ACQUISITION CORP.
8/F PRINTING HOUSE, 6 DUDDELL STREET
HONG KONG, K3 00000
X
BLACKWELL PARTNERS LLC - SERIES A
C/O BLACKWELL PARTNERS LLC - SERIES A
280 SOUTH MANGUM STREET, SUITE 210
DURHAM, NC 27701
X
Star V Partners LLC
C/O STAR V PARTNERS LLC
2100 WEST END AVE, SUITE 1000
NASHVILLE, TN 37203
X
Khurana Sohit
C/O DUDDELL STREET ACQUISITION CORP.
8/F PRINTING HOUSE, 6 DUDDELL STREET
HONG KONG, K3 00000
X

Signatures

/s/ Todd Aman, Attorney-in-Fact 12/16/2024
**Signature of Reporting Person Date
Duddell Street Holdings Limited, by: /s/ Todd Aman, Attorney-in-Fact 12/16/2024
**Signature of Reporting Person Date
Maso Capital Partners Limited, by: /s/ Todd Aman, Attorney-in-Fact 12/16/2024
**Signature of Reporting Person Date
Maso Capital Investments Limited, by: /s/ Todd Aman, Attorney-in-Fact 12/16/2024
**Signature of Reporting Person Date
Blackwell Partners LLC - Series A, by: /s/ Todd Aman, Attorney-in-Fact 12/16/2024
**Signature of Reporting Person Date
Star V Partners LLC, by: /s/ Todd Aman, Attorney-in-Fact 12/16/2024
**Signature of Reporting Person Date
/s/ Sohit Khurana 12/16/2024
**Signature of Reporting Person Date

Explanation of Responses:

* 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) These shares of Class A Common Stock were granted to the reporting person as compensation for the reporting person's service as a non-management director of the Issuer in lieu of a quarterly cash retainer.
(2) The shares are held of record by Duddell Street Holdings Limited ("Duddell"), a Cayman Islands limited liability company. Maso Capital Offshore Limited ("Maso"), a Cayman Islands limited liability company, is the sole member and manager of Duddell. Maso is beneficially owned and controlled by Manoj Jain, Sohit Khurana and Allan Finnerty.
(3) These shares are held of record by Maso Capital Investments ("MCIL"). Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL.
(4) MCPL is beneficially owned and controlled by Manoj Jain and Sohit Khurana, each of whom may be deemed to have beneficial ownership over these shares. Each such person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.
(5) These shares are held of record by Blackwell Partners LLC - Series A ("BPL"). MCPL is the investment manager of BPL and has sole voting and investment power with respect to the shares held by BPL.
(6) These shares are held of record by Star V Partners LLC ("SVPL"). MCPL is the investment manager of SVPL and has sole voting and investment power with respect to the shares held by SVPL.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.