Initial Statement of Beneficial Ownership (3)
June 11 2021 - 3:25PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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Hughes Herbert |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/5/2021
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3. Issuer Name and Ticker or Trading Symbol
Byrna Technologies Inc. [BYRN]
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(Last)
(First)
(Middle)
100 BURTT ROAD, SUITE 115 |
4. 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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(Street)
ANDOVER, MA 01810
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 87686 | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options (right to buy) | (1) | 12/30/2024 | Common Stock | 17500 | $1.90 | D | |
Warrants (right to buy) | (2) | 10/22/2023 | Common Stock | 21054 | $2.50 | D | |
Restricted Stock Units | (3) | (3) | Common Stock | 3873 | (4) | D | |
Explanation of Responses: |
(1) | The stock options became exercisable upon issuance. |
(2) | The warrants became exercisable upon issuance. |
(3) | The restricted stock units vest on the later of January 2, 2022 or the next annual meeting of BYRN's stockholders at which directors are elected, provided that the reporting person remains in continuous service to BYRN through such date. The restricted stock units will be settled in cash or shares of BYRN common stock on or before March 15, 2023. |
(4) | Each restricted stock unit represents a contingent right to receive one share of BYRN common stock or cash. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hughes Herbert 100 BURTT ROAD SUITE 115 ANDOVER, MA 01810 | X |
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Signatures
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/s/ Lisa Wager, by Power of Attorney | | 6/11/2021 |
**Signature of Reporting Person | Date |
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