美國

美國證券交易委員會

華盛頓特區,20549

 

 

 

表格8-K

 

 

 

當前報告

根據第 13節或第15(D)節

《1934年證券交易法》

 

報告日期 (最早報告事件日期):2023年10月11日

 

 

 

L Catterton Asia Acquisition Corp

(註冊人的確切名稱與其章程中規定的名稱相同)

 

 

 

開曼羣島 001-40196 98-1577355
(述明或其他司法管轄權 (佣金) (税務局僱主
公司或組織) 文件編號) 識別碼)

 

 

亞洲廣場大廈1號碼頭景觀8號    
41-03,新加坡   018960
(主要執行辦公室地址)   (郵政編碼)

 

+65 6672 7600

註冊人輸入 電話號碼,包括區號’

 

不適用

(前 姓名或前地址,如果自上次報告以來已更改)

 

 

 

如果表格8—K備案旨在 同時滿足以下任何規定下對註冊人的備案義務,請勾選下面的相應方框:

 

x根據《證券法》第425條規定的書面通信(《聯邦判例彙編》第17編,230.425)

o根據《交易所法案》(17 CFR 240.14a-12)規則第14a-12條徵集材料

o根據規則第14d-2(B)條和《交易法》(17 CFR 240.14d-2(B))進行開市前通信

o根據規則13E-4(C)和《交易法》(17 CFR 240.13E-4(C))進行開市前通信

 

根據本法第12(b)條登記的證券:

 

    交易   每個交易所的名稱
每個類的標題   符號   哪些註冊
單位,每股由一股A類普通股組成,$0.0001 面值,以及三分之一的可贖回權證   LCAAU   納斯達克股市有限責任公司
         
A類普通股作為單位的一部分   lcaa   納斯達克股市有限責任公司
         
可贖回認股權證作為單位的一部分,每份完整的認股權證 可行使一股A類普通股,行使價為11.50美元   LCAAW   納斯達克股市有限責任公司

 

用複選標記表示註冊人 是否是1933年《證券法》第405條規則或1934年《證券交易法》第12b-2條所界定的新興成長型公司。

 

新興成長型公司AX。

 

如果是新興成長型公司,用複選標記表示註冊人是否已選擇不使用延長的過渡期來遵守根據《交易法》第13(A)節提供的任何新的或修訂的財務會計準則。

 

 

 

 

 

第1.01項訂立實質性最終協議。

 

修訂和重述的合併協議

 

如 先前披露,於2023年1月31日,L卡特頓亞洲收購有限公司(一家根據開曼羣島法律註冊成立的獲豁免股份有限公司(“SPAC”或“LCAA”)與根據開曼羣島法律註冊成立的獲豁免股份有限公司(“本公司”或“蓮花科技”)、蓮花科技有限公司、獲豁免 根據開曼羣島法律註冊成立的股份有限公司及本公司的全資附屬公司(“合併 附屬公司1”)及蓮花EV有限公司(根據開曼羣島法律註冊成立的獲豁免股份有限公司及本公司的全資附屬公司(“合併附屬公司2”),據此,除其他事項外,(I)合併 附屬公司1將與LCAA合併及併入LCAA(“第一次合併”),隨着LCAA作為蓮花科技(第一次合併的倖存實體,“尚存實體1”)的全資子公司 在第一次合併後存活,以及(Ii)緊隨第一次合併完成後,尚存實體1將與合併子公司2合併並併入合併子公司2(“第二次合併”,與第一次合併一起,統稱為“合併”),而合併子公司2將作為蓮花科技的全資子公司 存活(原始合併協議預期的交易,包括合併,統稱為“合併”)。 企業合併)。

 

於2023年10月11日,SPAC, 本公司、合併附屬公司1及合併附屬公司2訂立第一份經修訂及重新簽署的合併協議及計劃(“經修訂合併協議”),據此修訂及重述原有合併協議,以規定(其中包括)本公司應安排與SPAC合理接納的信譽良好的存託銀行(“存託銀行”)設立保薦美國存托股份融資,以發行及分派本公司(“公司美國存托股份”)的美國存托股份。根據本公司與託管銀行將訂立的存款協議,正式及有效發行的每股面值為0.00001美元的本公司一(1)股相關普通股(“本公司普通股”)面值為每股0.00001美元。

 

Pursuant to the Amended Merger Agreement, immediately prior to the effective time of the First Merger (the “First Effective Time”), each Class B ordinary share, par value $0.0001 per share, of SPAC (each, a “SPAC Class B Ordinary Share”) shall be automatically converted into one Class A ordinary share, par value $0.0001 per share, of SPAC (each, a “SPAC Class A Ordinary Share”, together with SPAC Class B Ordinary Share, collectively, “SPAC Shares”) (such automatic conversion, the “SPAC Class B Conversion”) and shall no longer be issued and outstanding and shall be cancelled. In addition, at the First Effective Time: (i) each of SPAC’s units (“Units”) (each consisting of one SPAC Class A Ordinary Share and one-third of a SPAC Warrant (as defined below)) issued and outstanding immediately prior to the First Effective Time shall be automatically detached and the holder thereof shall be deemed to hold one SPAC Class A Ordinary Share and one-third of a SPAC Warrant in accordance with the terms of the applicable Unit (the “Unit Separation”); provided that no fractional SPAC Warrant shall be issued in connection with the Unit Separation such that if a holder of such Units would be entitled to receive a fractional SPAC Warrant upon the Unit Separation, the number of SPAC Warrants to be issued to such holder upon the Unit Separation will be rounded down to the nearest whole number of SPAC Warrants; (ii) immediately following the Unit Separation, each SPAC Class A Ordinary Share (including SPAC Class A Ordinary Shares (a) issued in connection with the SPAC Class B Conversion and (b) held as a result of the Unit Separation) issued and outstanding immediately prior to the First Effective Time (other than treasury shares held by SPAC or any of its subsidiaries (if applicable), SPAC Shares that are held by SPAC shareholders that validly exercise their redemption rights, SPAC Shares that are held by SPAC shareholders that exercise and perfect their relevant dissenters’ rights and SPAC Shares that are held by the Founder Shareholders (as defined below)) shall automatically be cancelled and cease to exist in exchange for the right to receive one Company ADS; (iii) each SPAC Share issued and outstanding immediately prior to the First Effective Time held by the Founder Shareholders shall automatically be cancelled and cease to exist in exchange for the right to receive one Company Ordinary Share; and (iv) each warrant issued by SPAC to acquire SPAC Class A Ordinary Shares (each, a “SPAC Warrant”) (including the SPAC Warrants held a result of the Unit Separation) outstanding immediately prior to the First Effective Time shall cease to be a warrant with respect to SPAC Shares and be assumed by the Company and converted into a warrant to purchase one Company Ordinary Share in the form of Company ADS (each, a “Company Warrant”), subject to substantially the same terms and conditions as were applicable to SPAC Warrants prior to the First Effective Time.

 

 

 

 

The foregoing description of the Amended Merger Agreement does not purport to be complete and is qualified in its entirety by the terms and conditions of the Amended Merger Agreement, a copy of which is attached hereto as Exhibit 2.1 and is incorporated herein by reference. The Amended Merger Agreement contains representations, warranties and covenants that the respective parties made to each other as of the date of such agreement or other specific dates. The assertions embodied in those representations, warranties and covenants were made for purposes of the contract among the respective parties and are subject to important qualifications and limitations agreed to by the parties in connection with negotiating the Amended Merger Agreement. The Amended Merger Agreement has been included to provide investors with information regarding its terms. It is not intended to provide any other factual information about the parties to the Amended Merger Agreement. In particular, the representations, warranties, covenants and agreements contained in the Amended Merger Agreement, which were made only for purposes of the Amended Merger Agreement and as of specific dates, were solely for the benefit of the parties to the Amended Merger Agreement, may be subject to limitations agreed upon by the contracting parties (including being qualified by confidential disclosures made for the purposes of allocating contractual risk between the parties to the Amended Merger Agreement instead of establishing these matters as facts) and may be subject to standards of materiality applicable to the contracting parties that differ from those applicable to investors and reports and documents filed with the SEC. Investors should not rely on the representations, warranties, covenants and agreements, or any descriptions thereof, as characterizations of the actual state of facts or condition of any party to the Amended Merger Agreement. In addition, the representations, warranties, covenants and agreements and other terms of the Amended Merger Agreement may be subject to subsequent waiver or modification. Moreover, information concerning the subject matter of the representations and warranties and other terms may change after the date of the Amended Merger Agreement, which subsequent information may or may not be fully reflected in LCAA’s public disclosures.

 

註冊權協議表格

 

就訂約方訂立經修訂合併協議而言,將由SPAC、本公司、本公司創始股東及潛在若干股東於完成交易時訂立的作為證物的註冊權協議(經修訂,即“註冊權協議”)的先前協定表格(經修訂,即“註冊權協議”)已予修訂,以反映(其中包括)向SPAC的適用股東發行公司美國存託憑證以代替公司普通股。

 

註冊權協議的前述描述 並不聲稱是完整的,並受註冊權協議的條款和條件的限制,註冊權協議的副本作為附件10.1和 隨本當前報告的表格8-K一起存檔,其條款通過引用併入本文。

 

轉讓、假設和修訂協議的表格

 

就訂約方訂立經修訂合併協議而言,將於完成合並時訂立的原合併協議附件所附的轉讓、假設及修訂協議(經修訂為 “轉讓、假設及修訂協議”)的先前議定格式已予修訂,以使SPAC、 公司、大陸股票轉讓信託公司(“大陸”) 及Equiniti Trust Company,LLC(“Equiniti”)將於完成交易時訂立轉讓、假設及修訂協議,據此,除其他事項外,(I)LCAA將把其在與大陸的現有認股權證協議(“認股權證協議”)下的所有權利、權益和義務轉讓給蓮花科技,(Ii)聘請Equiniti擔任蓮花科技的認股權證代理,(Iii)大陸科技,因為LCAA的權證代理將把其在認股權證協議和認股權證協議下的所有權利、利益和義務轉讓給Equiniti。及(Iv)認股權證協議將修訂:(A)將所有對認股權證(定義為 一詞)的提及權改為公司認股權證,以及所有對普通股(定義見內定義)的提述以公司美國存託憑證的形式向公司普通股出售;及(B)使每份已發行的公司認股權證代表 有權自成交時起以一股公司美國存托股份的形式收取一股全公司普通股。

 

 

 

 

轉讓、假設及修訂協議的前述描述並不完整,並受轉讓、假設及修訂協議的條款及條件的限制,該協議的副本以表8-K 的形式與本報告一同存檔,作為附件10.2,其條款以引用方式併入本文。

 

前瞻性陳述

 

本報告(“當前報告”) 包含《證券法》第27A節和《交易所法》第21E節所指的前瞻性陳述,這些陳述基於信念和假設以及蓮花科技和LCAA目前掌握的信息。本報告中除 歷史事實陳述外的所有陳述均為前瞻性陳述。在某些情況下,您可以通過“可能”、“應該”、“預期”、“打算”、“將”、 “估計”、“預期”、“相信”、“預測”、“潛在”、“預測”、 “計劃”、“尋求”、“未來”、“提議”或“繼續”等術語來識別前瞻性陳述,或者使用這些術語或其變體或類似術語的否定詞,儘管並非所有前瞻性陳述都包含此類術語。此類前瞻性 陳述會受到風險、不確定性和其他因素的影響,這些風險、不確定性和其他因素可能會導致實際結果與此類前瞻性陳述所表達或暗示的結果大相徑庭。

 

These forward-looking statements are based upon estimates and assumptions that, while considered reasonable by LCAA and its management, and Lotus Tech and its management, as the case may be, are inherently uncertain. Factors that may cause actual results to differ materially from current expectations include, but are not limited to: (1) the occurrence of any event, change or other circumstances that could give rise to the termination of definitive agreements with respect to the proposed Business Combination between LCAA, Lotus Tech and the other parties thereto; (2) the outcome of any legal proceedings that may be instituted against LCAA, the combined company or others following the announcement of the Business Combination and any definitive agreements with respect thereto; (3) the amount of redemption requests made by LCAA public shareholders and the inability to complete the Business Combination due to the failure to obtain approval of the shareholders of LCAA, to obtain financing to complete the Business Combination or to satisfy other conditions to the Closing; (4) changes to the proposed structure of the Business Combination that may be required or appropriate as a result of applicable laws or regulations or as a condition to obtaining regulatory approval of the Business Combination; (5) the ability to meet stock exchange listing standards following the consummation of the Business Combination; (6) the risk that the Business Combination disrupts current plans and operations of the Company as a result of the announcement and consummation of the Business Combination; (7) the ability to recognize the anticipated benefits of the Business Combination, which may be affected by, among other things, competition, the ability of the combined company to grow and manage growth profitably, maintain relationships with customers and suppliers and retain its management and key employees; (8) costs related to the Business Combination; (9) risks associated with changes in applicable laws or regulations and the Company’s international operations; (10) the possibility that the Company or the combined company may be adversely affected by other economic, business, and/or competitive factors; (11) the Company’s estimates of expenses and profitability; (12) the Company’s ability to maintain agreements or partnerships with its strategic partner Geely and to develop new agreements or partnerships; (13) the Company’s ability to maintain relationships with its existing suppliers and strategic partners, and source new suppliers for its critical components, and to complete building out its supply chain, while effectively managing the risks due to such relationships; (14) the Company’s reliance on its partnerships with vehicle charging networks to provide charging solutions for its vehicles and its strategic partners for servicing its vehicles and their integrated software; (15) the Company’s ability to establish its brand and capture additional market share, and the risks associated with negative press or reputational harm, including from lithium-ion battery cells catching fire or venting smoke; (16) delays in the design, manufacture, launch and financing of the Company’s vehicles and the Company’s reliance on a limited number of vehicle models to generate revenues; (17) the Company’s ability to continuously and rapidly innovate, develop and market new products; (18) risks related to future market adoption of the Company’s offerings; (19) increases in costs, disruption of supply or shortage of materials, in particular for lithium-ion cells or semiconductors; (20) the Company’s reliance on its partners to manufacture vehicles at a high volume, some of which have limited experience in producing electric vehicles, and on the allocation of sufficient production capacity to the Company by its partners in order for the Company to be able to increase its vehicle production capacities; (21) risks related to the Company’s distribution model; (22) the effects of competition and the high barriers to entry in the automotive industry, and the pace and depth of electric vehicle adoption generally on the Company’s future business; (23) changes in regulatory requirements, governmental incentives and fuel and energy prices; (24) the impact of the global COVID-19 pandemic on LCAA, the Company, the Company’s post business combination’s projected results of operations, financial performance or other financial metrics, or on any of the foregoing risks; and (25) other risks and uncertainties set forth in the section entitled “Risk Factors” and “Cautionary Note Regarding Forward-Looking Statements” in LCAA’s final prospectus relating to its initial public offering (File No. 333-253334) declared effective by the SEC on March 10, 2021, and other documents filed, or to be filed, with the SEC by LCAA or Lotus Tech, including the Registration/Proxy Statement. There may be additional risks that neither LCAA nor Lotus Tech presently know or that LCAA or Lotus Tech currently believe are immaterial that could also cause actual results to differ from those contained in the forward-looking statements.

 

 

 

 

本當前報告中的任何內容均不應被視為 任何人士陳述本文所述的前瞻性陳述將在任何指定時間內實現,或 根本實現,或該等前瞻性陳述的任何預期結果將在任何指定時間內實現,或 全部實現。本當前報告中的前瞻性陳述代表了LCAA和Lotus Tech截至其發佈日期的觀點。雖然 LCAA和Lotus Tech可能會在未來更新這些前瞻性聲明,但LCAA和Lotus Tech明確聲明不承擔任何義務 ,除非適用法律要求。您不應過分依賴前瞻性陳述。

 

附加信息

 

關於 擬議的業務合併,(i)Lotus Tech預計將向SEC提交一份表格F—4的註冊聲明,其中包含 LCAA的初步委託書和初步招股説明書(“註冊/委託聲明”);以及(ii)LCA 將提交一份與擬議業務合併有關的最終委託書,(“授權委託聲明書”) ,並將在註冊/授權委託聲明書宣佈生效後,將授權委託聲明書和其他相關材料郵寄給股東。註冊/委託聲明將包含有關擬議業務合併的重要信息,以及 將在為批准擬議業務合併而舉行的LCAA股東會議上表決的其他事項。本當前 報告不包含所有應考慮的關於擬議業務合併的信息,且不打算 構成任何投資決策或任何其他決策的基礎。

 

在 作出任何投票或其他投資決定之前,LCAA的證券持有人和其他有興趣的人應閲讀(如果可用) 註冊/委託聲明及其修訂、授權委託聲明和與擬議業務合併有關的 存檔的其他文件,因為這些材料將包含有關LCAA、Lotus Tech和業務合併 的重要信息。如果可用,則擬議業務合併 的授權委託書和其他相關材料將於確定的記錄日期郵寄給LCAA股東,以便就擬議業務合併進行投票。股東 還可以免費獲得註冊/委託書、授權委託書和其他向 提交的文件的副本,一旦獲得,可在SEC網站www.example.com上獲得,或通過向以下地址發送請求:LCAA,8 Marina View, Asia Square Tower 1,#41—03,Singapore 018960,收件人:Katie Matarazzo。

 

本文件所述任何 投資於本文件中所述的任何機構均未得到SEC或任何其他監管機構的批准或拒絕,也沒有 傳遞或認可本文件的價值或本文件中所含信息的準確性或充分性。向 相反的任何陳述都是犯罪行為。

 

 

 

 

徵集活動的參與者

 

LCAA和Lotus Tech 及其某些董事和執行官可被視為參與就擬議業務合併向LCAA股東徵求委託書 。LCAA向SEC提交的文件(包括LCAA與其首次公開募股(文件編號333—253334)相關的最終招股説明書)中列出了這些董事和執行官的名單以及 他們在LCAA中的權益描述,這些文件可在SEC網站www.example.com免費獲得,或向LCAA發送請求,地址為:8 Marina View,Asia Square Tower 1,#41—03, Singapore 018960,收件人:Katie Matarazzo。有關此類參與者和其他人員的利益的其他信息(根據證券交易委員會的規則, 可能被視為參與與擬議業務合併有關的股東徵集的參與者),將包含在擬議業務合併的註冊/委託書中(如果可用)。

 

無要約和非徵集

 

本當前報告 不是關於任何證券或潛在 交易的委託書或委託書的徵求、同意或授權,不應構成LCAA或Lotus Tech證券的出售要約或購買要約的徵求, 在任何州或司法管轄區,或在根據該州或司法管轄區的證券法註冊或獲得資格之前,銷售將是非法的。不得進行證券要約 ,除非通過符合證券法要求的招股説明書。

 

項目 9.01。展品

 

(D)展品。

 

不是的。   描述
2.1*   第一次修訂和重申 2023年10月11日,Lotus Technology,Inc.簽署的合併協議和計劃,L卡特頓 Asia Acquisition Corp、Lotus Temp Limited和Lotus EV Limited。
10.1   註冊表格 權利協議,由Lotus Technology,Inc.,L Catterton Asia Acquisition Corp,LCA Acquisition Sponder,LP和某些 L Catterton Asia Acquisition Corp
10.2   轉讓形式, 假設和修訂協議,由蓮花技術公司,L Catterton Asia Acquisition Corp,Continental 股票轉讓和信託公司和Equiniti Trust Company,LLC
104   封面交互式數據文件(嵌入 Inline XBRL文檔)

 

* 根據法規S—K第601(b)(2)項,本附件的某些附件和 附表已被省略。LCAA特此承諾應SEC的要求,以書面方式向SEC提供 任何遺漏的時間表的副本;但是,LCAA可以要求對如此提供的任何此類時間表進行保密處理 。

 

 

 

 

簽名

 

根據1934年《證券交易法》的要求,註冊人已正式授權下列簽署人代表其簽署本報告。

 

日期:2023年10月11日

 

  L Catterton亞洲收購公司
     
  發信人: /s/Chinta Bhagat
  姓名: 金塔巴加特
  標題: 聯席首席執行官兼主席