Greg Ethridge - Sep 28, 2021 Form 3 Insider Report for Hennessy Capital Investment Corp. VI (HCVI)

Role: PRESIDENT AND COO, Director, 10%+ Owner
Signature: /s/ Gregory D. Ethridge
Stock symbol: HCVI
Transactions as of: Sep 28, 2021
Transactions value $: $0
Form type: 3
Date filed: 9/28/2021, 09:23 PM
Previous filing: Jun 21, 2021
Next filing: Jul 14, 2022

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	HCVI	Class B Common Stock							Sep 28, 2021	Class A Common Stock	11.4M		See footnote.	F1, F2

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

Explanation of Responses:

Id	Content
F1	As described in the registrant's registration statement on Form S-1 (File No. 333-254062) under the heading "Description of Securities-Founder Shares," the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.
F2	These shares of Class B common stock are held by Hennessy Capital Partners VI LLC ("HCP"), acquired pursuant to a subscription agreement dated as of January 29, 2021 by and among HCP and the registrant. Gregory D. Ethridge, the President and Chief Operating Officer and a director of the registrant, is a co-managing member of HCP. Mr. Ethridge has shared voting and dispositive control over the shares held by HCP and may be deemed the beneficial owner of such shares. These shares include an aggregate of 1,500,000 shares that are subject to forfeiture to the extent that the underwriters do not exercise their over-allotment option in connection with the registrant's initial public offering in full. Mr. Ethridge disclaims beneficial ownership over any securities owned by HCP in which he does not have any pecuniary interest.

Content

As described in the registrant's registration statement on Form S-1 (File No. 333-254062) under the heading "Description of Securities-Founder Shares," the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

These shares of Class B common stock are held by Hennessy Capital Partners VI LLC ("HCP"), acquired pursuant to a subscription agreement dated as of January 29, 2021 by and among HCP and the registrant. Gregory D. Ethridge, the President and Chief Operating Officer and a director of the registrant, is a co-managing member of HCP. Mr. Ethridge has shared voting and dispositive control over the shares held by HCP and may be deemed the beneficial owner of such shares. These shares include an aggregate of 1,500,000 shares that are subject to forfeiture to the extent that the underwriters do not exercise their over-allotment option in connection with the registrant's initial public offering in full. Mr. Ethridge disclaims beneficial ownership over any securities owned by HCP in which he does not have any pecuniary interest.