UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

OMB Number: 3235-0101

Estimated average burden

hours per response 1.00

 

FORM 144

SEC USE ONLY

 

NOTICE OF PROPOSED SALE OF SECURITIES

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

DOCUMENT SEQUENCE NO.

 

ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.

CUSIP NUMBER

 

 

1 (a) NAME OF ISSUER (Please type or print)

TUCOWS INC.

(b) IRS IDENT. NO.

23-2707366

(c) S.E.C. FILE NO.

001-32600

WORK LOCATION

 

 

1 (d) ADDRESS OF ISSUER

STREET

CITY

STATE

ZIP CODE

(e) TELEPHONE NO.

96 Mowat Avenue

 

(b)

Toronto ON M6K 3M1

AREA CODE

416

NUMBER

535-0123

2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD

 

RELATIONSHIP TO ISSUER

(c) ADDRESS STREET

CITY

STATE

ZIP CODE

JEFFREY SCHWARTZ   DIRECTOR  424 RUSSELL HILL ROAD; TORONTO; ONTARIO M5P 2S3

 

INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

3 (a)

(b)

SEC USE ONLY

(c)

(d)

(e)

(f)

(g)

Title of the Class of Securities To Be Sold

 Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities

 Broker-Dealer

File Number

Number of Shares

or Other Units

To Be Sold

(See instr. 3(c))

Aggregate Market Value

(See instr. 3(d))

Number of Shares

or Other Units

Outstanding

(See instr. 3(e))

Approximate Date of Sale

(See instr. 3(f))

(MO. DAY YR.)

Name of Each Securities Exchange

(See instr. 3(g))

COMMON STOCK

RBC DOMINION SECURITIES

1501 McGILL COLLEGE AVE; SUITE 2150

MONTREAL, QUEBEC; H3A 3M8

 

 

   1,872

 

$121,680

 

10,570,610

 

AUG. 12, 2020

 

NASDAQ

 

 

             

 

 

 

             

 

INSTRUCTIONS:

1.    (a)   Name of issuer

(b)   Issuer’s I.R.S. Identification Number 

(c)   Issuer’s S.E.C. file number, if any

(d)   Issuer’s address, including zip code

(e)   Issuer’s telephone number, including area code

 

2.    (a)   Name of person for whose account the securities are to be sold

(b)   Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)

(c)   Such person’s address, including zip code

3.    (a)   Title of the class of securities to be sold

(b)   Name and address of each broker through whom the securities are intended to be sold

(c)   Number of shares or other units to be sold (if debt securities, give the aggregate face amount)

(d)   Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice

(e)   Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer

(f)   Approximate date on which the securities are to be sold

(g)   Name of each securities exchange, if any, on which the securities are intended to be sold

 

Potential persons who are to 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.

 

 

 

TABLE I –– SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of

the Class

Date you

Acquired

Nature of Acquisition Transaction

Name of Person from Whom Acquired

(If gift, also give date donor  acquired)

Amount of

Securities Acquired

Date of

Payment

Nature of Payment

COMMON STOCK

AUG 11, 2020

STOCK OPTION EXERCISE

TUCOWS INC.

    1,872

AUG 11, 2020

NET EXERCISE

 

INSTRUCTIONS: If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.  

 


TABLE II –– SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

 Name and Address of Seller

 Title of Securities Sold

 Date of Sale

Amount of

Securities Sold

 Gross Proceeds

 

 

N/A

 

 

 

N/A

 

 

N/A

 

 

N/A

 

 

N/A

 

REMARKS:

 

 

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

  ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

 

  AUGUST 12, 2020  
  DATE OF NOTICE   (SIGNATURE)
 

DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,

IF RELYING ON RULE 10B5-1

 

The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.

 

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

 

 
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