Statement of Changes in Beneficial Ownership (4)
June 22 2020 - 04:41PM
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 * Mathis Donald H |
2. Issuer Name and Ticker or Trading
Symbol Fluent, Inc. [ FLNT ] |
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 FLUENT, INC., 300 VESEY STREET, 9TH FLOOR |
3. Date of Earliest Transaction (MM/DD/YYYY)
6/3/2020
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(Street)
NEW YORK, NY 10282
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
6/3/2020 |
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A |
|
36128 |
A |
$0 |
36128 (1) |
D |
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Common Stock |
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|
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89472 |
D |
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Common Stock |
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|
|
|
|
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10151 (2) |
D |
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Common Stock |
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|
|
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8866 (3) |
D |
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Common Stock |
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8333 (4) |
D |
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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) |
On June 3, 2020, the
Reporting Person received a grant of 36,128 restricted stock units
("RSUs") under the Issuer's 2018 Stock Incentive Plan, vesting in
three equal annual installments, beginning on June 3,
2021. |
(2) |
Represents 10,151 RSUs
granted under the Issuer's 2018 Stock Incentive Plan on December 6,
2019, which will vest in two equal annual installments, beginning
on June 5, 2021. |
(3) |
Represents 8,866 RSUs
granted under the Issuer's 2018 Stock Incentive Plan, which will
vest on June 6, 2021. |
(4) |
Represents 8,333 RSUs
granted under the Issuer's 2015 Stock Incentive Plan on March 27,
2018, which will vest on March 27, 2021. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Mathis Donald H
C/O FLUENT, INC.
300 VESEY STREET, 9TH FLOOR
NEW YORK, NY 10282 |
X |
|
|
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Signatures
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/s/ Donald Mathis |
|
6/22/2020 |
**Signature of
Reporting Person |
Date |