Sec Form 4 Filing - GEM Global Yield LLC SCS @ Nxu, Inc. - 2023-10-25

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 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

OMB APPROVAL OMB Number: 3235-0287 Expires: November 30, 2011 Estimated average burden hours per response... 0.5

1. Name and Address of Reporting Person GEM Global Yield LLC SCS 2. Issuer Name and Ticker or Trading Symbol Nxu, Inc. [ NXU] 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) 12C, RUE GUILLAUME J. KROLL 3. Date of Earliest Transaction (MM/DD/YY) 10/25/2023 (Street) LUXEMBOURG, N4L-1882 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ 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 (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 Class A common stock ( 1 ) 10/25/2023 S 1,375,981 D $ 0.0357 ( 2 ) 31,849,879 D Class A common stock ( 1 ) 10/26/2023 S 1,471,408 D $ 0.0369 ( 3 ) 30,378,471 D Class A common stock ( 1 ) 10/27/2023 S 1,817,688 D $ 0.0342 ( 4 ) 28,560,783 D Class A common stock ( 1 ) 10/30/2023 S 1,919,122 D $ 0.0354 ( 5 ) 26,641,661 D

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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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 (MM/DD/YY) 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 GEM Global Yield LLC SCS 12C, RUE GUILLAUME J. KROLL LUXEMBOURG, N4L-1882 X Signatures GEM Global Yield LLC SCS By: /s/ Christopher F. Brown Title: Manager 10/30/2023 Signature of Reporting Person Date

Explanation of Responses:

( 1 )Consists of shares of Class A Common Stock, $0.0001 par value per share, held directly by GEM Global Yield LLC SCS ("GEM Investor"). GEM Global Yield Fund LLC ("GEM GP") is the general partner of GEM Investor and Christopher F. Brown is the sole beneficial owner of GEM GP. In such capacities, GEM GP and Mr. Brown may be deemed to have indirect voting and dispositive power over the shares held by GEM Investor. GEM GP and Mr. Brown each disclaim beneficial ownership of the shares held by GEM Investor, except to the extent, if any, that they have a pecuniary interest in such shares. ( 2 )The transactions referenced herein provide for various per share prices ranging from $0.035 to $0.036. GEM Investor undertakes to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price. ( 3 )The transactions referenced herein provide for various per share prices ranging from $0.036 to $0.038. GEM Investor undertakes to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price. ( 4 )The transactions referenced herein provide for various per share prices ranging from $0.034 to $0.035. GEM Investor undertakes to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price. ( 5 )The transactions referenced herein provide for various per share prices ranging from $0.0345 to $0.0362. GEM Investor undertakes to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.