Statement of Changes in Beneficial Ownership (4)
June 13 2022 - 9:27AM
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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OMB APPROVAL
OMB Number:
3235-0287
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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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Gardner Thomas J |
2. Issuer Name and Ticker or Trading Symbol
AgEagle Aerial Systems Inc.
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UAVS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O AGEAGLE AERIAL SYSTEMS INC., 8863 E. 34TH STREET NORTH |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/31/2020 |
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(Street)
WICHITA, KS 67226
(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 Stock, par value $0.001 | 4/1/2021 | | M(1) | | 4500 | A | $0.29 | 4500 | D | |
| Common Stock, par value $0.001 | 4/1/2021 | | M(1) | | 2500 | A | $0.41 | 7000 | D | |
| Common Stock, par value $0.001 | 4/1/2021 | | M(1) | | 13000 | A | $0.31 | 20000 | D | |
| Common Stock, par value $0.001 | 4/1/2021 | | S(2) | | 20000 | D | $7.10 (6) | 0 | D | |
| Common Stock, par value $0.001 | 7/1/2021 | | M(1) | | 2500 | A | $0.29 | 2500 | D | |
| Common Stock, par value $0.001 | 7/1/2021 | | M(1) | | 17500 | A | $0.31 | 20000 | D | |
| Common Stock, par value $0.001 | 7/1/2021 | | S(2) | | 20000 | D | $5.31 (7) | 0 | 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 |
| Options to purchase common stock, par value $0.001per share (1) | $1.19 | 3/31/2022 | | A | | 25000 | | (3) | 3/30/2027 | Common Stock | 25000 | (4) | 260500 (5) | D | |
| Options to purchase common stock, par value $0.001per share (1) | $1.57 | 12/31/2021 | | A | | 25000 | | (3) | 12/30/2026 | Common Stock | 25000 | (4) | 235500 (5) | D | |
| Options to purchase common stock, par value $0.001per share (1) | $3.01 | 9/30/2021 | | A | | 25000 | | (3) | 9/29/2026 | Common Stock | 25000 | (4) | 210500 (5) | D | |
| Options to purchase common stock, par value $0.001per share (1) | $0.31 | 7/1/2021 | | M | | | 17500 | 9/30/2019 (1) | 9/28/2024 | Common Stock | 17500 | (4) | 185500 (5) | D | |
| Options to purchase common stock, par value $0.001per share (1) | $0.29 | 7/1/2021 | | M | | | 2500 | 6/30/2019 (1) | 6/28/2024 | Common Stock | 2500 | (4) | 203000 (5) | D | |
| Options to purchase common stock, par value $0.001per share (1) | $5.27 | 6/30/2021 | | A | | 25000 | | (3) | 6/29/2026 | Common Stock | 25000 | (4) | 205500 (5) | D | |
| Options to purchase common stock, par value $0.001per share (1) | $0.29 | 4/1/2021 | | M | | | 4500 | 6/30/2019 (1) | 6/28/2024 | Common Stock | 4500 | (4) | 180500 (5) | D | |
| Options to purchase common stock, par value $0.001per share (1) | $0.41 | 4/1/2021 | | M | | | 2500 | 3/31/2019 (1) | 3/29/2024 | Common Stock | 2500 | (4) | 185000 (5) | D | |
| Options to purchase common stock, par value $0.001per share (1) | $0.31 | 4/1/2021 | | M | | | 13000 | 9/30/2019 (1) | 9/28/2024 | Common Stock | 13000 | (4) | 187500 (5) | D | |
| Options to purchase common stock, par value $0.001per share (1) | $6.26 | 3/31/2021 | | A | | 25000 | | (3) | 3/30/2026 | Common Stock | 25000 | (4) | 200500 (5) | D | |
| Options to purchase common stock, par value $0.001per share (1) | $6.00 | 12/31/2020 | | A | | 25000 | | (3) | 12/31/2025 | Common Stock | 25000 | (4) | 175500 (5) | D | |
| Explanation of Responses: |
| (1) | The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/08/2020. |
| (2) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/08/2020. |
| (3) | The options become exercisable and vest in equal monthly installments over a two-year period commencing on the Transaction Date. |
| (4) | The options were issued as incentive compensation for services under the Company's 2017 Omnibus Equity Incentive Plan. |
| (5) | Aggregate number of stock options beneficially owned as of the Transaction Date irrespective of exercise price and expiration date. |
| (6) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.07 to $7.16. |
| (7) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.30 to $5.32. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Gardner Thomas J
C/O AGEAGLE AERIAL SYSTEMS INC.
8863 E. 34TH STREET NORTH
WICHITA, KS 67226 | X |
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Signatures
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| /s/ Thomas J. Gardner | | 6/13/2022 |
| **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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