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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 | ||||||||
Stock Options - Right to Buy | $ 5.00 | 08/19/2021 | A | 15,000 (2) | (3) | 08/19/2031 | Common Stock | 15,000.00 | $ 0 | 15,000 | D | ||||
Purchase Warrants - Right to Buy | $ 25.50 | 12/19/2019 | 06/30/2030 | Common Stock | 1,203.00 | 1,203 | I | Warrants held by SFV Holdings LLC of which Mr. Sauermann is the President | |||||||
Stock Options - Right to Buy | $ 5.00 | (3) | 07/08/2031 | Common Stock | 33,333.00 | 33,333 | D | ||||||||
Stock Options - Right to Buy | $ 3.60 | (3) | 12/19/2029 | Common Stock | 66,667.00 | 66,667 | D | ||||||||
Stock Options - Right to Buy | $ 8.82 | (3) | 03/03/2031 | Common Stock | 75,000.00 | 75,000 | D | ||||||||
Purchase Warrants - Right to Buy | $ 4.50 | 10/01/2020 | 10/01/2026 | Common Stock | 33,334.00 | 33,334 | I | Warrants held by SFV Holdings LLC of which Mr. Sauermann is the President | |||||||
Stock Options - Right to Buy | $ 7.74 | (3) | 01/08/2031 | Common Stock | 16,667.00 | 16,667 | D | ||||||||
Purchase Warrants - Right to Buy | $ 7.50 | 01/22/2021 | 01/22/2027 | Common Stock | 3,334.00 | 3,334 | I | Warrants held by SFV Holdings LLC of which Mr. Sauermann is the President | |||||||
Stock Options - Right to Buy | $ 3.60 | (3) | 10/08/2030 | Common Stock | 16,667.00 | 16,667 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sauermann Robert 12400 RACE TRACK ROAD TAMPA, FL 33626 |
EVP, Strategy |
Becky Pickett, Attorney-in-Fact for Robert Sauermann | 08/23/2021 | |
**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 number of shares reported as directly owned has been increased by 5,000 and the number of shares reported as indirectly owned by SFV Holdings LLC has been decreased by 5,000 to correct an administrative error in previous reports. |
(2) | Options granted on August 19, 2021 and 67% of the options shall vest as to 1/3rd of the shares on the first annual anniversary of the grant date and 1/36th of the shares to vest on each monthly anniversary thereafter, and 33% of the options shall vest as to 1/3rd of the shares on the 18 month anniversary of the grant date and 1/36th of the shares to vest on each monthly anniversary thereafter. |
(3) | Options exercisable according to the vesting terms in the related option agreement. |