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Kumar Venu Raman – ‘4’ for 3/26/24 re: Aeries Technology, Inc.

On:  Thursday, 3/28/24, at 4:05pm ET   ·   For:  3/26/24   ·   As:  Director and 10% Owner   ·   Accession #:  1829126-24-1986   ·   File #:  1-40920

Previous ‘4’:  ‘4’ on 11/15/23 for 11/8/23   ·   Next & Latest:  ‘4’ on 4/9/24 for 4/5/24

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/28/24  Kumar Venu Raman                  4          Dir.,%Own.  1:8K   Aeries Technology, Inc.           Empire Filings/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      9K 
                Securities by an Insider -- ownership.xml/5.8


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 

The SEC has not released XSLT Stylesheets needed to render this File’s XML Data as a Form.

This is our “Plain Text” rendering:
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0508
Document Type:  4
Period of Report:  3/26/24
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  1853044
Issuer Name:  Aeries Technology, Inc.
Issuer Trading Symbol:  AERT
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1441841
Owner Name:  Kumar Venu Raman
Reporting Owner Address:
Owner Street 1:  74 TREVOSE CRESCENT
Owner Street 2:
Owner City:  SINGAPORE
Owner State:  U0
Owner ZIP Code:  298086
Owner State Description:  SINGAPORE
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  No
Is Ten Percent Owner?  Yes
Is Other?  No
Officer Title:
Other Text:
Aff 10b5 One:  0
Derivative Table:
Derivative Transaction:
Security Title:
Value:  AARK Shares Put Exchange Right
Conversion or Exercise Price:
Footnote ID:  F1
Footnote ID:  F2
Transaction Date:
Value:  3/26/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  10,000
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  A
Exercise Date:
Footnote ID:  F1
Footnote ID:  F2
Expiration Date:
Footnote ID:  F1
Footnote ID:  F2
Underlying Security:
Underlying Security Title:
Value:  Class A Ordinary Shares
Underlying Security Shares:
Value:  22,460,395
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  10,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  AARK Shares Call Exchange Right
Conversion or Exercise Price:
Footnote ID:  F1
Footnote ID:  F2
Transaction Date:
Value:  3/26/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  10,000
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  A
Exercise Date:
Footnote ID:  F1
Footnote ID:  F2
Expiration Date:
Footnote ID:  F1
Footnote ID:  F2
Underlying Security:
Underlying Security Title:
Value:  Class A Ordinary Shares
Underlying Security Shares:
Value:  22,460,395
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  10,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - F1:  Pursuant to the terms and subject to the restrictions set forth in that certain Exchange Agreement, dated as of November 6, 2023 (the "Exchange Agreement"), by and among Aeries Technology, Inc. (the "Issuer"), Aark Singapore Pte. Ltd. ("AARK"), and Venu Raman Kumar, the reporting person has a put exchange right, subject to certain exercise conditions, to exchange the reporting person's ordinary shares of AARK, par value SGD1.00 per share (the "AARK Shares"), for Class A ordinary shares, par value $0.0001 per share ("Class A Ordinary Shares") of the Issuer, at an exchange rate of approximately 2,246 Class A Ordinary Shares for each AARK Share. The Issuer also has a call exchange right under the Exchange Agreement, subject to the exercise conditions, to require the reporting person to exchange up to all of the reporting person's AARK Shares for Class A Ordinary Shares or a cash exchange payment.
Footnote - F2:  (Continued from footnote 1) The Issuer determined that the exercise conditions to the exchange rights were satisfied on March 26, 2024. As of the date of this Form 4, the reporting person has the right to exchange up to 20% of the AARK Shares and, on and after April 1, 2024, the reporting person has the right to exchange 100% of the AARK Shares. In addition, subject to certain conditions, either the call exchange or put exchange may be settled with a cash exchange payment calculated as the arithmetic average of the volume-weighted average price of Class A Ordinary Shares for the five (5) consecutive trading days ending on the date that is two (2) business days after the reporting person delivers notice of the exercise of the put exchange.
Owner Signature:
Signature Name:  /s/ Venu Raman Kumar
Signature Date:  3/28/24


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