Statement of Changes in Beneficial Ownership (4)
February 12 2020 - 4:08PM
Edgar (US Regulatory)
FORM 4
[ ]
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
*
Jennings Frank D |
2. Issuer Name and Ticker or Trading Symbol
EDISON NATION, INC.
[
EDNT
]
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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 EDISON NATION, INC., 1 WEST BROAD STREET, SUITE 1004 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/15/2019 |
(Street)
BETHLEHEM, PA 18010
(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 (1) | 11/15/2019 | | A | | 50000 | A | $0 | 50450 | D | |
Common Stock | | | | | | | | 350 | I | Held by Christina Jennings, Mr. Jennings' Spouse (2) |
Common Stock | | | | | | | | 200 | I | Held by Michael Jennings, Mr. Jennings' son (2) |
Common Stock | | | | | | | | 100 | I | Held by Lauryn Jennings, Mr. Jennings' daughter (2) |
Common Stock | | | | | | | | 100 | I | Held by Hayden Jennings, Mr. Jennings' daughter (2) |
Common Stock | | | | | | | | 100 | I | Held by Jack Jennings, Mr. Jennings' son (2) |
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) | These shares represent an award of restricted stock units ("RSUs") granted to the Reporting Person on November 15, 2019, pursuant to the Edison Nation, Inc. Omnibus Incentive Plan, of which 40% of the RSUs vested on November 15, 2019 and 60% of the RSUs vested on January 1, 2020. |
(2) | The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Jennings Frank D C/O EDISON NATION, INC. 1 WEST BROAD STREET, SUITE 1004 BETHLEHEM, PA 18010 | X |
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Signatures
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/s/ Frank D. Jennings | | 2/4/2020 |
**Signature of Reporting Person | Date |
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