GEM Global Yield LLC SCS - Oct 2, 2023 Form 3 Insider Report for Nxu, Inc. (NXU)

Role: 10%+ Owner
Signature: GEM Global Yield LLC SCS, By: /s/ Christopher F. Brown, Title: Manager
Stock symbol: NXU
Transactions as of: Oct 2, 2023
Transactions value $: $0
Form type: 3
Date filed: 10/4/2023, 04:48 PM
Previous filing: Nov 14, 2022
Next filing: Oct 13, 2023

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	NXU	Class A common stock, $0.0001 par value per share						34M	Oct 2, 2023	Direct	F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
holding	NXU	Warrant (right to buy)							Oct 2, 2023	Common Stock	340K	$82.12	Direct	F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Consists of shares of Common Stock held directly by GEM Global Yield LLC SCS ("GEM Investor"). GEM Global Yield Fund LLC ("GEM GP") is the general partner of GEM Investor and Christopher F. Brown is the sole beneficial owner of GEM GP. In such capacities, GEM GP and Mr. Brown may be deemed to have indirect voting and dispositive power over the shares held by GEM Investor. GEM GP and Mr. Brown each disclaim beneficial ownership of the shares held by GEM Investor, except to the extent, if any, that they have a pecuniary interest in such shares.
F2	Consists of a warrant held by GEM Yield Bahamas Limited ("GEM Bahamas"). Mr. Brown is the manager and sole beneficial owner of GEM Bahamas. In such capacity, Mr. Brown may be deemed to have indirect voting and dispositive power over the securities held by GEM Bahamas. Mr. Brown disclaims beneficial ownership of the securities held by GEM Bahamas, except to the extent, if any, that he has a pecuniary interest in such securities.

Content

Consists of shares of Common Stock held directly by GEM Global Yield LLC SCS ("GEM Investor"). GEM Global Yield Fund LLC ("GEM GP") is the general partner of GEM Investor and Christopher F. Brown is the sole beneficial owner of GEM GP. In such capacities, GEM GP and Mr. Brown may be deemed to have indirect voting and dispositive power over the shares held by GEM Investor. GEM GP and Mr. Brown each disclaim beneficial ownership of the shares held by GEM Investor, except to the extent, if any, that they have a pecuniary interest in such shares.

Consists of a warrant held by GEM Yield Bahamas Limited ("GEM Bahamas"). Mr. Brown is the manager and sole beneficial owner of GEM Bahamas. In such capacity, Mr. Brown may be deemed to have indirect voting and dispositive power over the securities held by GEM Bahamas. Mr. Brown disclaims beneficial ownership of the securities held by GEM Bahamas, except to the extent, if any, that he has a pecuniary interest in such securities.