Initial Statement of Beneficial Ownership (3)
March 02 2020 - 6:29PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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1. Name and Address of Reporting Person
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CHEN JOHN S |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/1/2020
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3. Issuer Name and Ticker or Trading Symbol
BLACKBERRY Ltd [BB]
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(Last)
(First)
(Middle)
C/O BLACKBERRY LIMITED, 2200 UNIVERSITY AVENUE EAST |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Executive Chairman & CEO / |
(Street)
WATERLOO, A6 N2K 0A7
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Shares | 4783191 | D | |
Common Shares | 1000000 | I | By grantor retained annuity trust (1) |
Common Shares | 1000000 | I | By grantor retained annuity trust (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Performance-Based Restricted Share Units | (3) | (3) | Common Shares | 5000000 | (4) | D | |
Restricted Share Units | (5) | (5) | Common Shares | 4000000 | (4) | D | |
Explanation of Responses: |
(1) | Grantor retained annuity trust for the benefit of the reporting person and his children. |
(2) | Grantor retained annuity trust for the benefit of the reporting person's spouse and her children. |
(3) | Performance-Based Restricted Share Units ("RSUs") that may be earned in increments of one million common shares of BlackBerry Limited ("BlackBerry") when the 10-day average closing price of BlackBerry's common shares on the New York Stock Exchange reaches $16, $17, $18, $19 and $20, respectively. If earned, the increment will vest on the first anniversary of November 3, 2018, 2019, 2020, 2021 or 2022, respectively, following the date it was earned. Any Performance-Based RSUs that have not been earned before November 3, 2023 will terminate on such date. |
(4) | Each unit represents a contingent right to receive one common share or an equivalent amount of cash, or a combination of the two, at the discretion of BlackBerry. |
(5) | The RSUs will vest in four equal annual installments beginning November 3, 2020. |
Remarks: Exhibit List: Exhibit 24.1 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CHEN JOHN S C/O BLACKBERRY LIMITED 2200 UNIVERSITY AVENUE EAST WATERLOO, A6 N2K 0A7 | X |
| Executive Chairman & CEO |
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Signatures
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/s/ Scott Lesmes, Attorney-in-Fact for John Chen | | 3/2/2020 |
**Signature of Reporting Person | Date |
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