Statement of Changes in Beneficial Ownership (4)
June 22 2018 - 4:21PM
Edgar (US Regulatory)
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 OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Ostoya Nicole
|
2. Issuer Name
and
Ticker or Trading Symbol
EVINE Live Inc.
[
EVLV
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Executive VP/CMO
|
(Last)
(First)
(Middle)
6740 SHADY OAK ROAD
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/13/2018
|
(Street)
EDEN PRAIRIE, MN 55344
(City)
(State)
(Zip)
|
4. 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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
7. Title and Amount of Securities Underlying Derivative Security
(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
|
Employee Stock Option (right to buy)
|
$1
|
6/13/2018
(1)
|
|
A
|
|
225687
|
|
(2)
|
3/26/2028
|
Common Stock
|
225687
|
$0
|
225687
|
D
|
|
Peformance Rights
|
(3)
|
6/13/2018
(1)
|
|
A
|
|
129303
|
|
(3)
|
3/15/2022
|
Common Stock
|
129303
|
$0
|
129303
|
D
|
|
Explanation of Responses:
|
(1)
|
This award was approved by the Human Resources and Compensation Committee of EVINE Live's Board of Directors on March 22, 2018, subject to shareholder approval of an amendment to the EVINE Live Inc. 2011 Omnibus Incentive Plan ("Plan") under which the award was granted. EVINE Live's shareholders approved the Plan amendment on June 13, 2018.
|
(2)
|
Options vest as to one-third of the shares on each of the first three anniversaries of the date of grant, March 26, 2018.
|
(3)
|
Each performance right represents a contingent right to receive one share of common stock. The performance rights vest based upon the issuer's total stockholder return.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Ostoya Nicole
6740 SHADY OAK ROAD
EDEN PRAIRIE, MN 55344
|
|
|
Executive VP/CMO
|
|
Signatures
|
/s/ Jonathan R. Zimmerman, Attorney-in-Fact
|
|
6/15/2018
|
**
Signature of Reporting Person
|
Date
|
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 control number.
|
Evolv Technologies (NASDAQ:EVLV)
Historical Stock Chart
From Mar 2024 to Apr 2024
Evolv Technologies (NASDAQ:EVLV)
Historical Stock Chart
From Apr 2023 to Apr 2024