Statement of Changes in Beneficial Ownership (4)
December 06 2019 - 6:31AM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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ELLIN ROBERT S |
2. Issuer Name and Ticker or Trading Symbol
NTN BUZZTIME INC
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NTN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O TRINAD CAPITAL MANAGEMENT, LLC, 269 SOUTH BEVERLY DRIVE, SUITE #1450 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/5/2019 |
(Street)
BEVERLY HILLS, CA 90212
(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, $0.005 par value | 12/5/2019 | | P | | 100 | A | $2.90 | 157071 | D | |
Common Stock, $0.005 par value | | | | | | | | 198995 | I | See footnotes (1)(2)(3) |
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) | Represents shares of the Issuer's common stock owned by Trinad Capital Master Fund, Ltd. ("Trinad Capital") and JJAT Corp. ("JJAT"), as the Reporting Person, the Portfolio Manager of Trinad Capital and owner of JJAT, is deemed to have sole voting and dispositive power over such shares. |
(2) | Each of the Reporting Person, Trinad Capital, Trinad Capital Management, LLC ("Trinad Management") and JJAT disclaim beneficial ownership of the reported securities except for the (i) personal and direct beneficial ownership of the Reporting Person as reported herein, (ii) direct beneficial ownership of Trinad Capital and JJAT as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being the Managing Member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, (vi) indirect interest of the Reporting Person by virtue of being a shareholder and Portfolio Manager of Trinad Capital, and (vii) Reporting Person's and/or Trinad Management's pecuniary interest in the securities reported herein as directly beneficially owned by Trinad Capital or JJAT. |
(3) | This report shall not be deemed an admission that the Reporting Person and/or Trinad Management is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ELLIN ROBERT S C/O TRINAD CAPITAL MANAGEMENT, LLC 269 SOUTH BEVERLY DRIVE, SUITE #1450 BEVERLY HILLS, CA 90212 |
| X |
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Signatures
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/s/ Robert S. Ellin | | 12/6/2019 |
**Signature of Reporting Person | Date |
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