Amended Statement of Changes in Beneficial Ownership (4/a)
May 30 2023 - 7:38PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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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
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Conlin Matthew |
2. Issuer Name and Ticker or Trading Symbol
Fluent, Inc.
[
FLNT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Customer Officer |
(Last)
(First)
(Middle)
C/O FLUENT, INC., 300 VESEY STREET, 9TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/21/2022 |
(Street)
NEW YORK, NY 10282 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
6/16/2022 |
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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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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 Stock | 4/21/2022 | | G | | 250000 (1) | D | $0 | 5449216 | D | |
Common Stock | 4/21/2022 | | G | | 250000 (1) | A | $0 | 250000 (2) | I | Held by the 2017 Conlin Shakira Family Trust (1) |
Common Stock | | | | | | | | 67570 (3) | I | Held by Conlin Family Foundation Trust (4) |
Common Stock | 6/14/2022 | | P | | 7500 | A | $1.2786 | 5449216 (5) | 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 |
Explanation of Responses: |
(1) | This Form 4 is being amended to correct an error in the Form 4 filed by the Reporting Person on June 16, 2022 (the "Original Form 4") which indicated that the Reporting Person transferred 250,000 shares to the Conlin Family Foundation Trust on April 21, 2022 rather than gifting such shares to the 2017 Conlin Shakira Family Trust. |
(2) | The Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the Reporting Person owns such securities for purposes of Section 16 or any other purposes. |
(3) | This Form 4 is being amended to correct the amount of securities beneficially owed by the Conlin Family Foundation Trust as previously reported by the Reporting Person in the Original Form 4. The Original Form 4 should have indicated that the Conlin Family Foundation Trust beneficially owns 67,570 shares of common stock of the Issuer as it was never transferred 250,000 shares of common stock of the Issuer as reported in the Original Form 4. |
(4) | The Reporting Person serves as Trustee the Conlin Family Foundation. |
(5) | This Form 4 is being amended to correct the amount of securities owned by the Reporting Person as previously filed on June 16, 2022. The Form 4 should have indicated that the Reporting Person holds 5,449,216 shares of common stock of the Issuer. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Conlin Matthew C/O FLUENT, INC. 300 VESEY STREET, 9TH FLOOR NEW YORK, NY 10282 | X | X | Chief Customer Officer |
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Signatures
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/s/ Matthew Conlin | | 5/30/2023 |
**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. |
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