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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock Option | $ 6.49 | (3) | 02/12/2029 | Common Stock | 25,000 | 25,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hannibal Timothy Andrew 590 MADISON AVE NEW YORK, NY 10022 |
Chief Financial Officer |
/s/ Timothy Hannibal | 10/04/2021 | |
**Signature of Reporting Person | Date |
* | 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) | The RSUs were issued to the reporting person as compensation for services and vest in three equal semi-annual installments commencing October 7, 2020 |
(2) | The RSUs were issued to the reporting person as compensation for services in connection with becoming President and COO of the Issuer. 100,000 of these RSUs vest ninety days after the grant date and the remaining 100,000 vest in six equal quarterly installments, commencing February 7, 2021 and every 90 days thereafter, until fully vested. |
(3) | Options become exercisable in four quarterly installments beginning May 13, 2020 |
(4) | The RSUs were granted for reporting person as compensation for acting as a Director. They vest in monthly installments, and shall vest in full on 12/31/2021 |
(5) | The RSUs were issued to the reporting person as compensation for services. They vest in monthly installments, and shall vest in full on 12/31/2021 |