U.S. SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

FORM 8-A

 

FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES

PURSUANT TO SECTION 12(b) OR 12(g) OF THE

SECURITIES EXCHANGE ACT OF 1934

 

KBL MERGER CORP. IV

 

(Exact Name of Registrant as Specified in Its Charter)

 

Delaware   81-3832378
(State of Incorporation or Organization)   (I.R.S. Employer Identification No.)
     

527 Stanton Christiana Rd.

Newark, DE

  19713
(Address of Principal Executive Offices)   (Zip Code)

  

If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), please check the following box.   ☒

     

If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), please check the following box.   ☐

 

If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box. ☐

 

Securities Act registration statement file number to which this form relates:   333- 217475  
    (If applicable)  

 

Securities to be registered pursuant to Section 12(b) of the Act:    

 

Title of Each Class

to be Registered

  

Name of Each Exchange on Which

Each Class is to be Registered

     
Units, each consisting of one share of Common Stock, one Right and one Warrant   The NASDAQ Stock Market LLC
     
Common Stock, par value $0.0001 per share   The NASDAQ Stock Market LLC
     
Rights, exchangeable into one-tenth of one share of Common Stock   The NASDAQ Stock Market LLC

 

Warrants, each warrant exercisable for one-half of one share of Common Stock at
an exercise price of $5.75 per half share

  

 

The NASDAQ Stock Market LLC

 

Securities to be registered pursuant to Section 12(g) of the Act:   

 

N/A
(Title of Class)

 

 

 

  
 

 

Item 1.    Description of Registrant’s Securities to be Registered.

 

The securities to be registered hereby are the units, common stock, rights exchangeable into one-tenth of one share of common stock and warrants to purchase shares of common stock of KBL Merger Corp. IV (the “Company”). The description of the units, common stock, rights and warrants contained in the section entitled “Description of Securities” in the prospectus included in the Company’s Registration Statement on Form S-1 (File No. 333-217475) filed with the Securities and Exchange Commission on April 26, 2017, as amended from time to time (the “Registration Statement”), to which this Form 8-A relates, is incorporated herein by reference. Any form of prospectus or prospectus supplement to the Registration Statement that includes such descriptions and that is subsequently filed is also incorporated by reference herein.

 

Item 2.    Exhibits.

 

The following exhibits have been filed as exhibits to the Registration Statement, as amended, and are incorporated herein by reference:

        

Exhibit No.   Description
 3.1    Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Registration Statement).
     
3.2   Form of Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.2 to the Registration Statement on Form S-1/A (File No. 333-217475), filed with the Securities and Exchange Commission on May 26, 2017) (the “Amended Registration Statement”).
     
3.3   Bylaws (incorporated by reference to Exhibit 3.3 to the Registration Statement).
     
 4.1    Specimen Unit Certificate (incorporated by reference to Exhibit 4.1 to the Amended Registration Statement).
     
 4.2    Specimen Common Stock Certificate (incorporated by reference to Exhibit 4.2 to the Registration Statement).
     
 4.3    Specimen Warrant Certificate (incorporated by reference to Exhibit 4.3 to the Amended Registration Statement).
     
 4.4    Form of Warrant Agreement between Continental Stock Transfer & Trust Company and the Company (incorporated by reference to Exhibit 4.4 to the Amended Registration Statement).

     
 4.5    Specimen Right Certificate (incorporated by reference to Exhibit 4.5 to the Amended Registration Statement).
     
 4.6    Form of Rights Agreement (incorporated by reference to Exhibit 4.6 to the Amended Registration Statement).
     
10.1   Form of Investment Management Trust Agreement between Continental Stock Transfer & Trust Company and the Company (incorporated by reference to Exhibit 10.3 to the Amended Registration Statement).
     
10.3 Form of Registration Rights Agreement between the Company and certain security holders (incorporated by reference to Exhibit 10.4 to the Amended Registration Statement).

   

 

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SIGNATURE

 

Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the Registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereto duly authorized.

 

  Very truly yours,
   
  KBL MERGER CORP. IV
     
  By:   /s/ Marlene Krauss, M.D.
    Marlene Krauss, M.D.
    Chief Executive Officer

 

Dated: May 31, 2017

 

 

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