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Section 1: 4 (FORM 4)

Ownership Submission
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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(Print or Type Responses)
1. Name and Address of Reporting Person *
Graf Acquisition LLC
  2. Issuer Name and Ticker or Trading Symbol
Graf Industrial Corp. [GRAF]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last)
(First)
(Middle)
C/O GRAF INDUSTRIAL CORP., 118 VINTAGE PARK BLVD., SUITE W-222
3. Date of Earliest Transaction (Month/Day/Year)
10/25/2018
(Street)

HOUSTON, TX 77070
4. If Amendment, Date Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 10/25/2018   J(1)   374,622 D $ 0 6,044,128 D(2)(3)  

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(Month/Day/Year)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Reporting Owners

Reporting Owner Name / Address Relationships
 Director  10% Owner  Officer  Other
Graf Acquisition LLC
C/O GRAF INDUSTRIAL CORP.
118 VINTAGE PARK BLVD., SUITE W-222
HOUSTON, TX 77070
    X    
Graf James A
C/O GRAF INDUSTRIAL CORP.
118 VINTAGE PARK BLVD., SUITE W-222
HOUSTON, TX 77070
    X    
OC Opportunities Fund II, L.P.
C/O OWL CREEK ADVISORS, LLC
640 FIFTH AVENUE, 20TH FLOOR
NEW YORK, NY 10019
    X    
Owl Creek Asset Management, L.P.
640 FIFTH AVENUE
20TH FLOOR
NEW YORK, NY 10019
    X    
OWL CREEK ADVISORS, LLC
640 FIFTH AVENUE, 20TH FLOOR
NEW YORK, NY 10019
    X    
ALTMAN JEFFREY A
640 FIFTH AVENUE, 20TH FLOOR
NEW YORK, NY 10019
    X    

Signatures

 /s/ Joel L. Rubinstein, Attorney-in-Fact for Graf Acquisition LLC   10/25/2018
**Signature of Reporting Person Date

 /s/ Joel L. Rubinstein, Attorney-in-Fact for James A. Graf   10/25/2018
**Signature of Reporting Person Date

 /s/ Reuben Kopel for OC Opportunities Fund II, L.P.   10/25/2018
**Signature of Reporting Person Date

 /s/ Reuben Kopel for Owl Creek Asset Management, L.P.   10/25/2018
**Signature of Reporting Person Date

 /s/ Reuben Kopel for Owl Creek Advisors, LLC   10/25/2018
**Signature of Reporting Person Date

 /s/ Jeffrey A. Altman   10/25/2018
**Signature of Reporting Person Date

Explanation of Responses:

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
(1) On October 25, 2018, Graf Acquisition LLC forfeited at no cost 374,622 shares of common stock, par value $0.0001 per share, in connection with the determination by the underwriters of the Issuer's initial public offering not to exercise in full the over-allotment option granted to them.
(2) The securities are held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.
(3) Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of such reporting persons disclaims beneficial ownership of the securities of the Issuer held by Graf Acquisition LLC, except as to the extent of such reporting persons' pecuniary interest in such securities.
 
Remarks:
See Exhibit 99.1 - Joint Filer Information, which is incorporated herein by reference and describes in further detail the relationships of James Graf, OC Opportunities Fund II, L.P., Owl Creek Asset Management, L.P., Owl Creek Advisors, LLC and Jeffrey A. Altman to the Issuer.

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

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Section 2: EX-99.1 (JOINT FILER INFORMATION)

Exhibit 99.1

Joint Filer Information

Name of Joint Filer: Graf Acquisition LLC
   
Address of Joint Filer: c/o Graf Industrial Corp.
  118 Vintage Park Blvd., Suite W-222
  Houston, Texas 77070
   
Relationship of Joint Filer to Issuer: 10% Owner
   
Issuer Name and Ticker or Trading Symbol: Graf Industrial Corp [GRAF]
   
Date of Event Requiring Statement:  
(Month/Day/Year): 10/25/2018
   
Designated Filer: Graf Acquisition LLC
   
   
Name of Joint Filer: James A. Graf
   
Address of Joint Filer: c/o Graf Industrial Corp.
  118 Vintage Park Blvd., Suite W-222
  Houston, Texas 77070
   
Relationship of Joint Filer to Issuer: Director; 10% Owner; Officer (Chief Executive Officer)
   
Issuer Name and Ticker or Trading Symbol: Graf Industrial Corp [GRAF]
   
Date of Event Requiring Statement:  
(Month/Day/Year): 10/25/2018
   
Designated Filer: Graf Acquisition LLC
   
   
Name of Joint Filer: OC Opportunities Fund II, L.P.
   
Address of Joint Filer: c/o Owl Creek Advisors, LLC
  640 Fifth Avenue, 20th Floor
  New York, NY 10019
   
Relationship of Joint Filer to Issuer: 10% Owner
   
Issuer Name and Ticker or Trading Symbol: Graf Industrial Corp [GRAF]
   
Date of Event Requiring Statement:  
(Month/Day/Year): 10/25/2018
   
Designated Filer: Graf Acquisition LLC
   
 

 

  

   
Name of Joint Filer: Owl Creek Asset Management, L.P.
   
Address of Joint Filer: c/o Owl Creek Advisors, LLC
  640 Fifth Avenue, 20th Floor
  New York, NY 10019
   
Relationship of Joint Filer to Issuer: 10% Owner
   
Issuer Name and Ticker or Trading Symbol: Graf Industrial Corp [GRAF]
   
Date of Event Requiring Statement:  
(Month/Day/Year): 10/25/2018
   
Designated Filer: Graf Acquisition LLC
   
   
Name of Joint Filer: Owl Creek Advisors, LLC
   
Address of Joint Filer: 640 Fifth Avenue, 20th Floor
  New York, NY 10019
   
Relationship of Joint Filer to Issuer: 10% Owner
   
Issuer Name and Ticker or Trading Symbol: Graf Industrial Corp [GRAF]
   
Date of Event Requiring Statement:  
(Month/Day/Year): 10/25/2018
   
Designated Filer: Graf Acquisition LLC
   
   
Name of Joint Filer: Jeffrey A. Altman
   
Address of Joint Filer: c/o Owl Creek Advisors, LLC
  640 Fifth Avenue, 20th Floor
  New York, NY 10019
   
Relationship of Joint Filer to Issuer: 10% Owner
   
Issuer Name and Ticker or Trading Symbol: Graf Industrial Corp [GRAF]
   
Date of Event Requiring Statement:  
(Month/Day/Year): 10/25/2018
   
Designated Filer: Graf Acquisition LLC
   

 

 

 

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