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Anzu SPAC GP I LLC

Disclosed activity across 1 company

Tapewire entity
84754
SEC CIK
0001846378

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Envoy Medical, Inc.COCH · Entity 716110% ownerDecember 20, 2024December 26, 2024

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Envoy Medical, Inc.

Report date December 20, 2024 · Filed December 26, 2024

Jointly reported with Haring-Smith Whitney

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common Stock, par value $0.0001 per shareSEC Table I · non-derivativeDirect0 Last balance in matching sequence After 2024-12-23 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2024-12-20 · Conversion · Acquired 1,028,986 · Balance 2,028,986

F1: On December 20, 2024, Anzu SPAC GP I LLC (the "Sponsor") converted 373,333 shares of Series A Preferred Stock, par value $0.0001 ("Preferred Stock") of Envoy Medical, Inc. (the "Issuer") into 1,028,986 shares of Class A Common Stock, par value $0.0001 per share ("Common Stock") pursuant to the terms set forth in the Certificate of Designation for the Preferred Stock (the "Certificate of Designation").

F2: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Row 2 · 2024-12-23 · Other · Disposed 2,028,986 · Balance 0

F3: Represents a pro-rata distribution in-kind by the Sponsor to its members for no consideration.

F2: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Series A Preferred Stock, par value $0.0001 per shareSEC Table II · derivative / convertible security · Conversion / exercise price $3.63Direct2,126,667 Reported balance After 2023-12-20 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2023-12-20 · Conversion · Disposed 373,333 · Balance 2,126,667

F4: As disclosed in the Issuer's Form 8-K filed with the Securities and Exchange Commission on December 20, 2024, pursuant to the Conversion and Waiver Agreement between the Issuer and the Sponsor, among other things, the Issuer made a voluntary, temporary reduction in the conversion price, pursuant to the terms of the Certificate of Designation, of all of the outstanding shares of Preferred Stock effective December 20, 2024 through January 20, 2025 from $11.50 per share of Common Stock issuable upon conversion of a share of Preferred Stock to $3.63, with the conversion ratio determined by dividing the $10.00 original issue price of the Preferred Stock by such conversion price.

F1: On December 20, 2024, Anzu SPAC GP I LLC (the "Sponsor") converted 373,333 shares of Series A Preferred Stock, par value $0.0001 ("Preferred Stock") of Envoy Medical, Inc. (the "Issuer") into 1,028,986 shares of Class A Common Stock, par value $0.0001 per share ("Common Stock") pursuant to the terms set forth in the Certificate of Designation for the Preferred Stock (the "Certificate of Designation").

F5: The shares of Preferred Stock have no expiration date. The shares of Preferred Stock are subject to mandatory conversion into shares of Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Preferred Stock to shares of Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

F2: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: On December 20, 2024, Anzu SPAC GP I LLC (the "Sponsor") converted 373,333 shares of Series A Preferred Stock, par value $0.0001 ("Preferred Stock") of Envoy Medical, Inc. (the "Issuer") into 1,028,986 shares of Class A Common Stock, par value $0.0001 per share ("Common Stock") pursuant to the terms set forth in the Certificate of Designation for the Preferred Stock (the "Certificate of Designation").

F2: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

F3: Represents a pro-rata distribution in-kind by the Sponsor to its members for no consideration.

F4: As disclosed in the Issuer's Form 8-K filed with the Securities and Exchange Commission on December 20, 2024, pursuant to the Conversion and Waiver Agreement between the Issuer and the Sponsor, among other things, the Issuer made a voluntary, temporary reduction in the conversion price, pursuant to the terms of the Certificate of Designation, of all of the outstanding shares of Preferred Stock effective December 20, 2024 through January 20, 2025 from $11.50 per share of Common Stock issuable upon conversion of a share of Preferred Stock to $3.63, with the conversion ratio determined by dividing the $10.00 original issue price of the Preferred Stock by such conversion price.

F5: The shares of Preferred Stock have no expiration date. The shares of Preferred Stock are subject to mandatory conversion into shares of Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Preferred Stock to shares of Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
December 23, 2024 Filed Dec 26, 2024 22:39 UTC Envoy Medical, Inc. COCH · Entity 7161 OtherClass A Common Stock, par value $0.0001 per share 2,028,986 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-050420 · form4.xml · nonDerivative · entry 2

Anzu SPAC GP I LLC · CIK 0001846378 · 10% owner

Haring-Smith Whitney · CIK 0001846535 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F3 · kind: Represents a pro-rata distribution in-kind by the Sponsor to its members for no consideration.

F2 · ownership.direct: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Read SEC document
December 20, 2024 Filed Dec 26, 2024 22:39 UTC Envoy Medical, Inc. COCH · Entity 7161 ConversionClass A Common Stock, par value $0.0001 per share 1,028,986 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-050420 · form4.xml · nonDerivative · entry 1

Anzu SPAC GP I LLC · CIK 0001846378 · 10% owner

Haring-Smith Whitney · CIK 0001846535 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,028,986

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On December 20, 2024, Anzu SPAC GP I LLC (the "Sponsor") converted 373,333 shares of Series A Preferred Stock, par value $0.0001 ("Preferred Stock") of Envoy Medical, Inc. (the "Issuer") into 1,028,986 shares of Class A Common Stock, par value $0.0001 per share ("Common Stock") pursuant to the terms set forth in the Certificate of Designation for the Preferred Stock (the "Certificate of Designation").

F2 · ownership.direct: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Read SEC document
November 19, 2024 Filed Nov 21, 2024 23:00 UTC Envoy Medical, Inc. COCH · Entity 7161 OtherClass A Common Stock, par value $0.0001 per share 1,000,000 $0.00 $0.00
Disclosure

SEC source: 0001062993-24-019529 · form4.xml · nonDerivative · entry 1

Anzu SPAC GP I LLC · CIK 0001846378 · 10% owner

Haring-Smith Whitney · CIK 0001846535 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,000

F1 · kind: Represents a pro-rata distribution in-kind by Anzu SPAC GP I LLC (the "Sponsor") to its members for no consideration.

F2 · ownership.direct: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Read SEC document
December 20, 2023 Filed Dec 26, 2024 22:39 UTC Envoy Medical, Inc. COCH · Entity 7161 ConversionSeries A Preferred Stock, par value $0.0001 per share · Derivative 373,333 $0.00 Strike: $3.63 $0.00
Disclosure

SEC source: 0001140361-24-050420 · form4.xml · derivative · entry 3

Anzu SPAC GP I LLC · CIK 0001846378 · 10% owner

Haring-Smith Whitney · CIK 0001846535 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,126,667

Underlying: Class A Common Stock, par value $0.0001 per share · 1,028,986 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: As disclosed in the Issuer's Form 8-K filed with the Securities and Exchange Commission on December 20, 2024, pursuant to the Conversion and Waiver Agreement between the Issuer and the Sponsor, among other things, the Issuer made a voluntary, temporary reduction in the conversion price, pursuant to the terms of the Certificate of Designation, of all of the outstanding shares of Preferred Stock effective December 20, 2024 through January 20, 2025 from $11.50 per share of Common Stock issuable upon conversion of a share of Preferred Stock to $3.63, with the conversion ratio determined by dividing the $10.00 original issue price of the Preferred Stock by such conversion price.

F1 · shares: On December 20, 2024, Anzu SPAC GP I LLC (the "Sponsor") converted 373,333 shares of Series A Preferred Stock, par value $0.0001 ("Preferred Stock") of Envoy Medical, Inc. (the "Issuer") into 1,028,986 shares of Class A Common Stock, par value $0.0001 per share ("Common Stock") pursuant to the terms set forth in the Certificate of Designation for the Preferred Stock (the "Certificate of Designation").

F5 · price: The shares of Preferred Stock have no expiration date. The shares of Preferred Stock are subject to mandatory conversion into shares of Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Preferred Stock to shares of Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

F5 · derivative.exercise_date: The shares of Preferred Stock have no expiration date. The shares of Preferred Stock are subject to mandatory conversion into shares of Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Preferred Stock to shares of Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

F5 · derivative.expiration_date: The shares of Preferred Stock have no expiration date. The shares of Preferred Stock are subject to mandatory conversion into shares of Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Preferred Stock to shares of Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

F1 · derivative.underlying_shares: On December 20, 2024, Anzu SPAC GP I LLC (the "Sponsor") converted 373,333 shares of Series A Preferred Stock, par value $0.0001 ("Preferred Stock") of Envoy Medical, Inc. (the "Issuer") into 1,028,986 shares of Class A Common Stock, par value $0.0001 per share ("Common Stock") pursuant to the terms set forth in the Certificate of Designation for the Preferred Stock (the "Certificate of Designation").

F2 · ownership.direct: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Read SEC document
September 29, 2023 Filed Oct 4, 2023 01:58 UTC Envoy Medical, Inc. COCH · Entity 7161 ConversionClass B Common Stock, par value $0.0001 per share · Derivative 2,490,000 $0.00 $0.00
Disclosure

SEC source: 0001062993-23-018937 · form4.xml · derivative · entry 7

Anzu SPAC GP I LLC · CIK 0001846378 · 10% owner

Haring-Smith Whitney · CIK 0001846535 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock, par value $0.0001 per share · 2,490,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · derivative.exercise_price: On September 29, 2023, in connection with the Closing, each share of Class B Common Stock automatically converted into one share of Class A Common Stock.

F10 · shares: On September 29, 2023, in connection with the Closing, each share of Class B Common Stock automatically converted into one share of Class A Common Stock.

F10 · price: On September 29, 2023, in connection with the Closing, each share of Class B Common Stock automatically converted into one share of Class A Common Stock.

F10 · derivative.exercise_date: On September 29, 2023, in connection with the Closing, each share of Class B Common Stock automatically converted into one share of Class A Common Stock.

F10 · derivative.expiration_date: On September 29, 2023, in connection with the Closing, each share of Class B Common Stock automatically converted into one share of Class A Common Stock.

F3 · ownership.direct: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Read SEC document
September 29, 2023 Filed Oct 4, 2023 01:58 UTC Envoy Medical, Inc. COCH · Entity 7161 OtherClass B Common Stock, par value $0.0001 per share · Derivative 2,500,000 $0.00 $0.00
Disclosure

SEC source: 0001062993-23-018937 · form4.xml · derivative · entry 6

Anzu SPAC GP I LLC · CIK 0001846378 · 10% owner

Haring-Smith Whitney · CIK 0001846535 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,490,000

Underlying: Class A Common Stock, par value $0.001 per share · 2,500,000 shares

Expires not disclosed

F8 · derivative.exercise_price: On September 29, 2023, in connection with the Closing, an aggregate of 2,500,000 shares of Series A Preferred Stock were issued to the Sponsor in exchange for 2,500,000 shares of Class B Common Stock held by the Sponsor in a private exchange offer.

F8 · shares: On September 29, 2023, in connection with the Closing, an aggregate of 2,500,000 shares of Series A Preferred Stock were issued to the Sponsor in exchange for 2,500,000 shares of Class B Common Stock held by the Sponsor in a private exchange offer.

F8 · price: On September 29, 2023, in connection with the Closing, an aggregate of 2,500,000 shares of Series A Preferred Stock were issued to the Sponsor in exchange for 2,500,000 shares of Class B Common Stock held by the Sponsor in a private exchange offer.

F8 · derivative.exercise_date: On September 29, 2023, in connection with the Closing, an aggregate of 2,500,000 shares of Series A Preferred Stock were issued to the Sponsor in exchange for 2,500,000 shares of Class B Common Stock held by the Sponsor in a private exchange offer.

F8 · derivative.expiration_date: On September 29, 2023, in connection with the Closing, an aggregate of 2,500,000 shares of Series A Preferred Stock were issued to the Sponsor in exchange for 2,500,000 shares of Class B Common Stock held by the Sponsor in a private exchange offer.

F3 · ownership.direct: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Read SEC document
September 29, 2023 Filed Oct 4, 2023 01:58 UTC Envoy Medical, Inc. COCH · Entity 7161 Disposition to issuerClass B Common Stock, par value $0.0001 per share · Derivative 5,510,000 $0.00 $0.00
Disclosure

SEC source: 0001062993-23-018937 · form4.xml · derivative · entry 5

Anzu SPAC GP I LLC · CIK 0001846378 · 10% owner

Haring-Smith Whitney · CIK 0001846535 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,990,000

Underlying: Class A Common Stock, par value $0.0001 per share · 5,510,000 shares

Expires not disclosed

F9 · derivative.exercise_price: On September 29, 2023, in connection with the Closing, the Sponsor forfeited 5,510,000 shares of Class B Common Stock.

F9 · shares: On September 29, 2023, in connection with the Closing, the Sponsor forfeited 5,510,000 shares of Class B Common Stock.

F9 · price: On September 29, 2023, in connection with the Closing, the Sponsor forfeited 5,510,000 shares of Class B Common Stock.

F9 · derivative.exercise_date: On September 29, 2023, in connection with the Closing, the Sponsor forfeited 5,510,000 shares of Class B Common Stock.

F9 · derivative.expiration_date: On September 29, 2023, in connection with the Closing, the Sponsor forfeited 5,510,000 shares of Class B Common Stock.

F3 · ownership.direct: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Read SEC document
September 29, 2023 Filed Oct 4, 2023 01:58 UTC Envoy Medical, Inc. COCH · Entity 7161 OtherSeries A Preferred Stock, par value $0.0001 per share · Derivative 2,500,000 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0001062993-23-018937 · form4.xml · derivative · entry 4

Anzu SPAC GP I LLC · CIK 0001846378 · 10% owner

Haring-Smith Whitney · CIK 0001846535 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500,000

Underlying: Class A Common Stock, par value $0.0001 per share · 2,173,913 shares

Expires not disclosed

F6 · derivative.exercise_price: These shares of Series A Preferred Stock have no expiration date. These shares of Series A Preferred Stock are subject to mandatory conversion into shares of Class A Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Series A Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Series A Preferred Stock to shares of Class A Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Class A Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

F8 · shares: On September 29, 2023, in connection with the Closing, an aggregate of 2,500,000 shares of Series A Preferred Stock were issued to the Sponsor in exchange for 2,500,000 shares of Class B Common Stock held by the Sponsor in a private exchange offer.

F8 · price: On September 29, 2023, in connection with the Closing, an aggregate of 2,500,000 shares of Series A Preferred Stock were issued to the Sponsor in exchange for 2,500,000 shares of Class B Common Stock held by the Sponsor in a private exchange offer.

F6 · derivative.exercise_date: These shares of Series A Preferred Stock have no expiration date. These shares of Series A Preferred Stock are subject to mandatory conversion into shares of Class A Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Series A Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Series A Preferred Stock to shares of Class A Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Class A Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

F6 · derivative.expiration_date: These shares of Series A Preferred Stock have no expiration date. These shares of Series A Preferred Stock are subject to mandatory conversion into shares of Class A Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Series A Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Series A Preferred Stock to shares of Class A Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Class A Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

F6 · derivative.underlying_shares: These shares of Series A Preferred Stock have no expiration date. These shares of Series A Preferred Stock are subject to mandatory conversion into shares of Class A Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Series A Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Series A Preferred Stock to shares of Class A Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Class A Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

F3 · ownership.direct: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Read SEC document
September 29, 2023 Filed Oct 4, 2023 01:58 UTC Envoy Medical, Inc. COCH · Entity 7161 PurchaseSeries A Preferred Stock, par value $0.0001 per share · Derivative 1,000,000 $10.00 Strike: $11.50 $10,000,000.00
Disclosure

SEC source: 0001062993-23-018937 · form4.xml · derivative · entry 3

Anzu SPAC GP I LLC · CIK 0001846378 · 10% owner

Haring-Smith Whitney · CIK 0001846535 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote 6

Disclosed balance after: 1,000,000

Underlying: Class A Common Stock, par value $0.0001 per share · 869,565 shares

Expires not disclosed

F6 · derivative.exercise_price: These shares of Series A Preferred Stock have no expiration date. These shares of Series A Preferred Stock are subject to mandatory conversion into shares of Class A Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Series A Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Series A Preferred Stock to shares of Class A Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Class A Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

F7 · shares: On April 17, 2023, the Issuer entered into a subscription agreement with the Sponsor pursuant to which AICP III L.P., Anzu Industrial Capital Partners III, L.P. and Anzu Industrial Capital Partners III QP, L.P., each an affiliate of the Sponsor, paid an aggregate $10,000,000 in exchange for 1,000,000 shares of Series A preferred stock, par value $0.0001 per share ("Series A Preferred Stock"), which shares were issued to such affiliates on September 29, 2023.

F6 · derivative.exercise_date: These shares of Series A Preferred Stock have no expiration date. These shares of Series A Preferred Stock are subject to mandatory conversion into shares of Class A Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Series A Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Series A Preferred Stock to shares of Class A Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Class A Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

F6 · derivative.expiration_date: These shares of Series A Preferred Stock have no expiration date. These shares of Series A Preferred Stock are subject to mandatory conversion into shares of Class A Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Series A Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Series A Preferred Stock to shares of Class A Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Class A Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

F6 · derivative.underlying_shares: These shares of Series A Preferred Stock have no expiration date. These shares of Series A Preferred Stock are subject to mandatory conversion into shares of Class A Common Stock at the Issuer's sole discretion upon the occurrence of certain events specified in the Certificate of Designation. In addition, holders of Series A Preferred Stock have the right, at any time at such preferred stockholder's option, to convert each share of Series A Preferred Stock to shares of Class A Common Stock based on the ratio determined by dividing the Original Issuance Price of $10.00 per share by the Conversion Price of $11.50 per share, subject to certain customary adjustments in the event of certain events affecting the price of the Class A Common Stock, such as stock splits and combinations, or the distribution of options, rights or warrants, as described in the Certificate of Designation.

F3 · ownership.direct: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

Read SEC document
September 29, 2023 Filed Oct 4, 2023 01:58 UTC Envoy Medical, Inc. COCH · Entity 7161 OtherClass A Common Stock, par value $0.0001 per share 490,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001062993-23-018937 · form4.xml · nonDerivative · entry 2

Anzu SPAC GP I LLC · CIK 0001846378 · 10% owner

Haring-Smith Whitney · CIK 0001846535 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000,000

F4 · price: The Sponsor transferred an aggregate of 490,000 shares of Class A Common Stock to various third parties pursuant to (i) the extension support agreements between the Issuer, the Sponsor and several unaffiliated third parties and (ii) the side letter agreements between the Sponsor and certain institutional investors.

F5 · balance_after: 1,000,000 of these shares have vested. The remaining 1,000,000 shares remain unvested and subject to forfeiture, and will vest upon the U.S. Food and Drug Administration's approval of the Issuer's Acclaim cochlear implant device or upon a change of control of the Issuer. All 2,000,000 shares are subject to a contractual lock-up agreement and may only be transferred in accordance with the terms thereof.

F3 · ownership.direct: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

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September 29, 2023 Filed Oct 4, 2023 01:58 UTC Envoy Medical, Inc. COCH · Entity 7161 ConversionClass A Common Stock, par value $0.0001 per share 2,490,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001062993-23-018937 · form4.xml · nonDerivative · entry 1

Anzu SPAC GP I LLC · CIK 0001846378 · 10% owner

Haring-Smith Whitney · CIK 0001846535 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,490,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These shares were issued in connection with the automatic conversion of an equal number of shares of Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), which converted to Class A Common Stock, par value $0.0001 per share ("Class A Common Stock"), upon the closing (the "Closing") of the business combination between Anzu Special Acquisition Corp. I and Envoy Medical Corporation (the "Business Combination").... (continued)

F2 · price: (Continued from footnote 1) ...Prior to the Closing, Anzu SPAC GP I LLC (the "Sponsor") beneficially owned 10,500,000 shares of Class B Common Stock. In connection with the Closing, the Sponsor forfeited 5,510,000 shares of Class B Common Stock and exchanged 2,500,000 shares of Class B Common Stock for an equal number of shares of Series A Preferred Stock, par value $0.0001 ("Series A Preferred Stock") in a private exchange offer. The Issuer's remaining 2,490,000 shares of Class B Common Stock automatically converted to an equal number of shares of Class A Common Stock upon the Closing.

F3 · ownership.direct: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor, and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

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October 01, 2022 Filed Oct 4, 2022 21:03 UTC Envoy Medical, Inc. ANZU · Entity 7161 OtherClass B Common Stock, par value $0.0001 per share · Derivative 50,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001062993-22-020354 · form4.xml · derivative · entry 1

Anzu SPAC GP I LLC · CIK 0001846378 · 10% owner

Haring-Smith Whitney · CIK 0001846535 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,500,000

Underlying: Class A Common Stock, par value $0.0001 per share · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The shares of Class B common stock, par value $0.0001 per share (the "Class B Founder Shares") of Anzu Special Acquisition Corp I (the "Issuer") have no expiration date and (i) are convertible into shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), of the Issuer at any time at the option of the holder on a one-for-one basis and (ii) will automatically convert into shares of Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, in each case, subject to adjustment as described under the heading "Description of Securities-Founder Shares" in the Issuer's registration statement on Form S-1 (File No. 333-252861).

F2 · kind: On October 1, 2022, Anzu SPAC GP I LLC (the "Sponsor") assigned an aggregate of 50,000 Class B Founder Shares to certain directors and officers of the Issuer, for an aggregate consideration of $10,500.

F2 · price: On October 1, 2022, Anzu SPAC GP I LLC (the "Sponsor") assigned an aggregate of 50,000 Class B Founder Shares to certain directors and officers of the Issuer, for an aggregate consideration of $10,500.

F1 · derivative.exercise_date: The shares of Class B common stock, par value $0.0001 per share (the "Class B Founder Shares") of Anzu Special Acquisition Corp I (the "Issuer") have no expiration date and (i) are convertible into shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), of the Issuer at any time at the option of the holder on a one-for-one basis and (ii) will automatically convert into shares of Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, in each case, subject to adjustment as described under the heading "Description of Securities-Founder Shares" in the Issuer's registration statement on Form S-1 (File No. 333-252861).

F1 · derivative.expiration_date: The shares of Class B common stock, par value $0.0001 per share (the "Class B Founder Shares") of Anzu Special Acquisition Corp I (the "Issuer") have no expiration date and (i) are convertible into shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), of the Issuer at any time at the option of the holder on a one-for-one basis and (ii) will automatically convert into shares of Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, in each case, subject to adjustment as described under the heading "Description of Securities-Founder Shares" in the Issuer's registration statement on Form S-1 (File No. 333-252861).

F1 · derivative.underlying_shares: The shares of Class B common stock, par value $0.0001 per share (the "Class B Founder Shares") of Anzu Special Acquisition Corp I (the "Issuer") have no expiration date and (i) are convertible into shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), of the Issuer at any time at the option of the holder on a one-for-one basis and (ii) will automatically convert into shares of Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, in each case, subject to adjustment as described under the heading "Description of Securities-Founder Shares" in the Issuer's registration statement on Form S-1 (File No. 333-252861).

F3 · ownership.direct: Dr. Whitney Haring-Smith shares voting and investment control over shares held by the Sponsor and, as a result, may be deemed to beneficially own the securities reported herein. Dr. Haring-Smith disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.