# EDGAR Filing Document

**Accession Number:** 0001903392
**File Stem:** 0001213900-23-025487
**Filing Date:** 2023-3
**Character Count:** 5793
**Document Hash:** 004fe779f5a7ebe6f24a713a2255baaf
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-23-025487.hdr.sgml**: 20230331

**ACCESSION NUMBER**: 0001213900-23-025487

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230331

**ITEM INFORMATION**: Unregistered Sales of Equity Securities

**ITEM INFORMATION**: Regulation FD Disclosure

**FILED AS OF DATE**: 20230331

**DATE AS OF CHANGE**: 20230331

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ClimateRock
- **CENTRAL INDEX KEY:** 0001903392
- **STANDARD INDUSTRIAL CLASSIFICATION:** BLANK CHECKS [6770]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** E9
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41363
- **FILM NUMBER:** 23787870

**BUSINESS ADDRESS:**
- **STREET 1:** 50 SLOANE AVENUE
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** SW3 3DD
- **BUSINESS PHONE:** 447747767496

**MAIL ADDRESS:**
- **STREET 1:** 50 SLOANE AVENUE
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** SW3 3DD

?xml version="1.0" encoding="utf-8"?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**PURSUANT TO SECTION 13 OR 15(d) OF THE**

**SECURITIES EXCHANGE ACT OF 1934**

Date of Report (Date of earliest event reported): **March 31, 2023**

**ClimateRock**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Cayman Islands** | **001-41363** | **N/A** |
| (State or other jurisdiction<br> of incorporation) | (Commission File Number) | (IRS Employer<br> Identification No.) |

---

**50 Sloane Avenue**

**London, SW3 3DD, United Kingdom**

(Address of principal executive offices, including zip code)

Registrant's telephone number, including area code: **+44 203 954 0590**

**Not Applicable** (Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which registered** |
| Units, each consisting of one Class A Ordinary Share, one-half of one Redeemable Warrant and one Right | CLRCU | The Nasdaq Stock Market LLC |
| Class A Ordinary Shares, par value $0.0001 per share | CLRC | The Nasdaq Stock Market LLC |
| Redeemable Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50 | CLRCW | The Nasdaq Stock Market LLC |
| Rights, each entitling the holder to receive one-tenth (1/10) of one Class A Ordinary Share upon the consummation of an initial business combination | CLRCR | The Nasdaq Stock Market LLC |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

**Item 3.02 Unregistered Sales of Equity Securities.**

On March 31, 2023, ClimateRock (the "Company") issued an aggregate of 1,968,749 of the Company's Class A ordinary shares, par value $0.0001 per share ("Class A Ordinary Shares") to U.N. SDG Support LLC, the sponsor of the Company (the "Sponsor"), upon the conversion (the "Conversion") of an equal number of the Company's Class B ordinary shares, par value $0.0001 per share ("Class B Ordinary Shares"), held by the Sponsor.

The 1,968,749 Class A Ordinary Shares issued in connection with the Conversion are subject to the same restrictions as applied to the Class B Ordinary Shares before the Conversion, including, among other things, certain transfer restrictions, waiver of redemption rights and the obligation to vote in favor of an initial business combination as described in the prospectus for the Company's initial public offering. Following the Conversion, there are 9,961,874 Class A Ordinary Shares issued and outstanding and one Class B Ordinary Shares issued and outstanding. As a result of the Conversion, the Sponsor holds approximately 19.8% of the Company's Class A Ordinary Shares that are outstanding.

The issuance of the Class A Ordinary Shares upon the Conversion has not been registered under the Securities Act of 1933, as amended, in reliance on the exemption from registration provided by Section 3(a)(9) thereof.

**Item 7.01 Regulation FD Disclosure.**

The disclosure set forth above in Item 3.02 of this Current Report on Form 8-K is incorporated by reference in this Item 7.01.

**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | | |
|:---|:---|:---|:---|
|  | **CLIMATEROCK** | **CLIMATEROCK** | **CLIMATEROCK** |
| Date: March 31, 2023 | By: | /s/ Per Regnarsson | /s/ Per Regnarsson |
|  |  | Name: | Per Regnarsson |
|  |  | Title: | Chief Executive Officer |

---