Statement of Changes in Beneficial Ownership (4)
November 24 2020 - 6:14PM
Edgar (US Regulatory)
FORM 4
[X]
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
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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
*
Shipley Tomas IV |
2. Issuer Name and Ticker or Trading Symbol
Canopy Growth Corp
[
CGC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
C/O CANOPY GROWTH CORPORATION, 1 HERSHEY DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/13/2020 |
(Street)
SMITHS FALLS, A6 K7A 0A8
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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COMMON SHARES | 8/13/2020 | | M | | 73333 | A | $8.18 (1) | 80760 | D | |
COMMON SHARES | 8/13/2020 | | S(3) | | 73333 | D | $23.10 (1)(2) | 7427 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Stock Option | $8.18 | 8/13/2020 | | M | | | 73333 | (3) | 6/28/2023 | Common Stock | 73333 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | Expressed in Canadian dollars. |
(2) | The price reported a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.10 to $23.15, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (2). |
(3) | These options vested on June 28, 2020. |
Remarks: Vice-President Scientific Development |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Shipley Tomas IV C/O CANOPY GROWTH CORPORATION 1 HERSHEY DRIVE SMITHS FALLS, A6 K7A 0A8 |
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| See Remarks |
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Signatures
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/s/ Tom Shipley | | 11/24/2020 |
**Signature of Reporting Person | Date |
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