East Stone Acquisition Corporation

Status: Deal Closed

U=S+W+R W=S/2@11.5 R=S/10

IPO Proceeds, $M	$138.00M
IPO Date	Feb 20, 2020
CEO	Xiaoma (Sherman) Lu
Left Lead	I-Bankers Securities
IPO Cash in Trust	100.0%
SPAC Tenor	15+3+3+3+6+6
IPO Sector	Financial Fintech in North America and Asia-Pacific
IPO Geography	Global
Target Company	ICONIQ Holding Limited (“NWTN”)
Deal Announced	Apr 16, 2022
Deal Size, $M	TBD
Deal Sector	Automotive
Deal Geography	EEMEA
SEC Filings	www.sec.gov
Approval Vote	Nov 10, 2022
Amendment Vote	Aug 22, 2022
Closing Date	Nov 11, 2022

Formerly ESSC NWTN NWTNW

Price	$1.12
Last closing price	$1.15
H/L, today	$1.16 / $1.30
H/L, 52-week	$2.06 / $13.49
Volume, today	34,696
Volume, 3-month avg.	N/A

Price
Volume, today
Volume, 3-month avg.	N/A

Price	$0.05
Last closing price	$0.06
High/low price, today	$0.05 / $0.05
High/low price, 52-week	$0.05 / $0.60
Volume, today	7,047
Volume, 3-month avg.	N/A

Price
Volume, today
Volume, 3-month avg.	N/A

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Structure and cap table
5 directors & officers
58 filings and events
5 underwriters

Structure

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Team

Name	Age	Title
Xiaoma (Sherman) Lu	53	CEO & Director
Chunyi (Charlie) Hao	59	Chairman & CFO
Sanjay Prasad	56	Director
Michael S. Cashel	58	Director
William Zielke	74	Director

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Advisors

Underwriters

I-Bankers Securities	BR	5,650,000	units
EarlyBirdCapital		3,000,000
BTIG		2,500,000
Ingalls & Snyder		800,000
B. Riley FBR		50,000
		12,000,000	units
Up-Front UW fee		1.75	%

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Deal

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Filings


Jan 17, 2020	Initial S-1
Feb 6, 2020	S-1/A Amendment #1 Sign In to view filing content.
Feb 19, 2020	8-A12B Registration of securities Sign In to view filing content.
Feb 19, 2020	S-1MEF Registration of additional 2,300,000 units
Feb 19, 2020	PR announcing pricing of upsized $120mm IPO Sign In to view filing content.
Feb 21, 2020	424B4 IPO Prospectus Sign In to view filing content.
Feb 25, 2020	8-K announcing full over-allotment exercise Sign In to view filing content.
Mar 13, 2020	8-K announcing separate trading of common stock, warrants, and rights Sign In to view filing content.
Sep 23, 2020	8-K announcing business combination with Ufin Sign In to view filing content.
Nov 12, 2020	PREM14A Preliminary proxy for shareholder meeting to approve Ufin business combination Sign In to view filing content.
Nov 13, 2020	8-K with updated Business Combination Agreement Sign In to view filing content.
Nov 23, 2020	8-K with investor presentation Sign In to view filing content.
Feb 18, 2021	8-K announcing business combination with JHD Holdings (termination of Ufin BCA) Sign In to view filing content.
May 20, 2021	8-K announcing charter extension with sponsor contribution to trust Sign In to view filing content.
May 24, 2021	8-K announcing charter extension with sponsor contribution to trust Sign In to view filing content.
Jun 29, 2021	PREM14A Preliminary proxy for shareholder meeting to approve JHD Holdings business combination Sign In to view filing content.
Aug 13, 2021	PRER14A Revised preliminary proxy for shareholder meeting to approve JHD Holdings business combination Sign In to view filing content.
Aug 23, 2021	8-K announcing charter extension with sponsor contribution to trust Sign In to view filing content.
Aug 25, 2021	8-K announcing charter extension with sponsor contribution to trust Sign In to view filing content.
Sep 14, 2021	PRER14A Revised preliminary proxy for shareholder meeting to approve JHD Holdings business combination Sign In to view filing content.
Sep 17, 2021	8-K with amendment to JHD Business Combination Agreement Sign In to view filing content.
Oct 8, 2021	S-4/A Amendment #3 to registration statement containing preliminary proxy for JHD Holdings business combination Sign In to view filing content.
Oct 8, 2021	PRER14A Revised preliminary proxy for shareholder meeting to approve JHD Holdings business combination Sign In to view filing content.
Oct 14, 2021	8-K with amendment to JHD Business Combination Agreement Sign In to view filing content.
Oct 22, 2021	PRE14A Preliminary proxy for charter extension meeting Sign In to view filing content.
Oct 28, 2021	S-4/A Amendment #4 to registration statement containing preliminary proxy for JHD Holdings business combination Sign In to view filing content.
Nov 1, 2021	S-4/A Amendment #5 to registration statement containing preliminary proxy for JHD Holdings business combination Sign In to view filing content.
Nov 5, 2021	S-4/A Amendment #6 to registration statement containing preliminary proxy for JHD Holdings business combination Sign In to view filing content.
Nov 5, 2021	DEF14A Definitive proxy for shareholder meeting to extend charter Sign In to view filing content.
Nov 15, 2021	8-K announcing forward purchase agreements and amendment to JHD Holdings business combination agreement Sign In to view filing content.
Nov 26, 2021	8-K with extension meeting results Sign In to view filing content.
Dec 17, 2021	S-4/A Amendment #7 to registration statement containing preliminary proxy for JHD Holdings business combination Sign In to view filing content.
Jan 10, 2022	S-4/A Amendment #8 to registration statement containing preliminary proxy for JHD Holdings business combination Sign In to view filing content.
Jan 24, 2022	S-4/A Amendment #9 to registration statement containing preliminary proxy for JHD Holdings business combination Sign In to view filing content.
Jan 26, 2022	S-4/A Amendment #9 to registration statement containing preliminary proxy for JHD Holdings business combination Sign In to view filing content.
Jan 31, 2022	PRE14A Preliminary Proxy for charter extension meeting Sign In to view filing content.
Feb 4, 2022	8-K with Founder Share Transfer Agreement Sign In to view filing content.
Feb 10, 2022	DEF14A Definitive proxy for charter extension meeting Sign In to view filing content.
Mar 2, 2022	8-K with extension meeting results Sign In to view filing content.
Apr 16, 2022	PR announcing business combination with ICONIQ Holding Limited (termination of JHD Holdings BCA) Sign In to view filing content.
Apr 21, 2022	8-K with full ICONIQ Holding Limited (“NWTN”) merger agreement and correction to transaction details Sign In to view filing content.
Jun 15, 2022	8-K announcing an additional $200mm PIPE Sign In to view filing content.
Jul 21, 2022	PRE14A Preliminary proxy for charter extension meeting Sign In to view filing content.
Jul 26, 2022	PREM14A Preliminary Proxy for ICONIQ Holding Limited business combination Sign In to view filing content.
Aug 3, 2022	DEF14A Definitive proxy for charter extension meeting Sign In to view filing content.
Aug 12, 2022	8-K announcing $200mm additional PIPE investment Sign In to view filing content.
Aug 22, 2022	8-K with extension meeting results Sign In to view filing content.
Aug 29, 2022	8-K confirming funding of extension payment Sign In to view filing content.
Aug 29, 2022	PRER14A Revised preliminary proxy for shareholder meeting to approve ICONIQ Holding Limited business combination Sign In to view filing content.
Sep 29, 2022	PRER14A Revised preliminary proxy for shareholder meeting to approve ICONIQ Holding Limited business combination Sign In to view filing content.
Oct 4, 2022	8-K with amendment to ICONIQ business combination agreement Sign In to view filing content.
Oct 24, 2022	DEFM14A Definitive proxy for ICONIQ business combination Sign In to view filing content.
Nov 7, 2022	8-K announcing waiver to the letter agreement Sign In to view filing content.
Nov 8, 2022	8-K announcing adjournment of ICONIQ approval meeting Sign In to view filing content.
Nov 9, 2022	8-K announcing adjournment of ICONIQ approval meeting Sign In to view filing content.
Nov 10, 2022	8-K announcing non-redemption agreement Sign In to view filing content.
Nov 11, 2022	CA Corporate Action Alert announcing closing of ICONIQ business combination Sign In to view filing content.
Nov 15, 2022	8-K with ICONIQ meeting results Sign In to view filing content.

Shareholders

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