Hartanto Files 13D for BrilliA Inc

TL;DR

**Hartanto just filed a 13D on BrilliA Inc (ticker TBD) - ownership change incoming!**

AI Summary

On November 29, 2024, Kendrew Hartanto filed a Schedule 13D for BrilliA Inc, reporting an acquisition of Class A Ordinary Shares. The filing indicates a change in beneficial ownership, requiring this disclosure under the Securities Exchange Act of 1934.

Why It Matters

This filing signals a significant change in ownership for BrilliA Inc, potentially impacting its stock price and corporate strategy.

Risk Assessment

Risk Level: medium — Schedule 13D filings often precede significant corporate actions or shifts in control, which can introduce volatility.

Key Players & Entities

• BrilliA Inc (company) — Subject company
• Kendrew Hartanto (person) — Filing person
• Class A Ordinary Shares (security) — Securities acquired

FAQ

Key Financial Figures

• $0.00005 — r) Class A Ordinary Shares, par value $0.00005 per share (Title of Class of Securitie

Filing Documents

• ea0224038-13dkendrew_brill.htm (SC 13D) — 31KB
• ea022403802ex99-1_brill.htm (EX-99.1) — 10KB
• 0001213900-24-109494.txt ( ) — 42KB

Security and Issuer

Item 1. Security and Issuer. This Schedule 13D is filed (this “Schedule 13D”) by the Reporting Person (as identified above and defined below) with respect to the Shares of BrilliA Inc, a Cayman Islands company, with its principal executive offices located at 220 Orchard Road, Unit 05-01, Midpoint Orchard, Singapore 238852.

Identity and Background

Item 2. Identity and Background. (a) This Schedule 13D is being filed by Kendrew Hartanto (the “Reporting Person”): (b) The Reporting Person’s business address is c/o 220 Orchard Road, Unit 05-01, Midpoint Orchard, Singapore 238852. (c) The Reporting Person is the Chief Executive Officer of the Issuer. (d) During the last five years, the Reporting Person has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) During the last five years, the Reporting Person has not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities (f) The Reporting Person is a citizen of Indonesia.

Source and Amount of Funds or Other

Item 3. Source and Amount of Funds or Other Consideration. (1) The Reporting Person acquired all of the Shares beneficially owned by him as part of a group reorganization on and share exchange agreement dated April 30, 2024.

Purpose of Transaction

Item 4. Purpose of Transaction. The Reporting Person acquired all of the Shares beneficially owned by him as part of a group reorganization on and share exchange agreement dated April 30, 2024. The Reporting Person holds the Shares for investment purposes. The Reporting Person is a member of the board of directors of the Issuer and serves as the Chairman and, as a result, may be asked to vote on or discuss matters related to items (a) through (j) of this Item 4 of Schedule 13D with representatives of the Issuer and others. Except as may be set forth herein, the Reporting Person has no current intention, plan or proposal with respect to items (a) through (j) of Item 4 of Schedule 13D.

Interest in Securities of the Issuer

Item 5. Interest in Securities of the Issuer. (a) Incorporated by reference to Items 11 and 13 of the Cover Page. (b) Incorporated by reference to Items 7-10 of the Cover Page. (c) None. (d) None. (e) N/A. CUSIP No. G1645N101 SCHEDULE 13D Page 4 of 5

Contracts, Arrangements, Understandings

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. Lock-Up Agreement – Pursuant to the terms of a Lock-Up Agreement dated November 26, 2024, (the “Lock-Up Agreement”), a copy of the form of which is attached to this Schedule 13D as Exhibit 1 and incorporated herein by reference, the Reporting Person has agreed, subject to certain exceptions, not to offer, pledge, sell, or dispose of, directly or indirectly, any of the Issuer’s Ordinary Shares or securities convertible into or exchangeable or exercisable for any of the Issuer’s Ordinary Shares during the 12-month period following the date of the Underwriting Agreement, dated November 26, 2024, by and between the Issuer and A.G.P./Alliance Global Partners, as representative of the several underwriters.

Material to Be Filed as Exhibits

Item 7. Material to Be Filed as Exhibits. Exhibit Number Description 1 Form of Lock-Up Agreement.

SIGNATURES

SIGNATURES After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: December 17, 2024 KENDREW HARTANTO /s/ KENDREW HARTANTO 5

View Full Filing

View this SC 13D filing on SEC EDGAR