Initial Statement of Beneficial Ownership (3)
August 13 2021 - 04:37PM
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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Betjemann Jessica |
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/9/2021
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3. Issuer Name and Ticker or Trading Symbol
Gogo Inc. [GOGO]
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(Last)
(First)
(Middle)
111 N. CANAL STREET, STE 1400 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP, Finance, Treasurer & CAO / |
(Street)
CHICAGO, IL 60606
(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 | 21434 | 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 |
Options (Right to Buy) | (1) | 3/17/2030 | Common Stock | 19000 | $2.14 | D | |
Options (Right to Buy) | (2) | 6/12/2030 | Common Stock | 30776 | $2.61 | D | |
Performance Restricted Stock Units | (3) | (3) | Common Stock | 231 | (4) | D | |
Restricted Stock Units | (5) | (5) | Common Stock | 693 | (6) | D | |
Restricted Stock Units | (7) | (7) | Common Stock | 1250 | (6) | D | |
Restricted Stock Units | (8) | (8) | Common Stock | 332 | (6) | D | |
Restricted Stock Units | (9) | (9) | Common Stock | 5500 | (6) | D | |
Restricted Stock Units | (10) | (10) | Common Stock | 7500 | (6) | D | |
Restricted Stock Units | (11) | (11) | Common Stock | 27750 | (6) | D | |
Restricted Stock Unit | (12) | (12) | Common Stock | 28557 | (6) | D | |
Explanation of Responses: |
(1) | These options were granted on March 17, 2020 and are scheduled to vest and become exercisable in four equal annual installments on the first four anniversaries of the grant date, subject to continued employment with the Company. |
(2) | These options vest on December 31, 2022, subject to continued employment with the Company. |
(3) | Following the elimination of the performance conditions for these restricted stock units by the Compensation Committee of the Company, these restricted stock units provided for vesting in four annual installments beginning on the first anniversary of February 17, 2018, subject to continued employment with the Company. |
(4) | Each performance restricted stock unit represents the contingent right to receive one share of the Company's common stock or its equivalent value in cash. |
(5) | 2,775 restricted stock units were granted on February 17, 2018. 2,082 of these restricted stock units have vested and settled and 693 are scheduled to vest on February 17, 2022, subject to continued employment with the Company. |
(6) | Each restricted stock unit represents the contingent right to receive one share of the Company's common stock or its equivalent value in cash. |
(7) | 5,000 restricted stock units were granted on June 8, 2018. 3,750 of these restricted stock units have vested and settled and 1,250 are scheduled to vest on June 8, 2022, subject to continued employment of the Company. |
(8) | 665 restricted stock units were granted on August 31, 2018. 333 of these restricted stock units have vested and settled and 332 are scheduled to vest ratably in equal installments on August 31, 2021 and August 31, 2022, subject to continued employment of the Company. |
(9) | 11,000 restricted stock units were granted on March 10, 2019. 5,500 of these restricted stock units have vested and settled and 5,500 are scheduled to vest ratably in equal installments on March 10, 2022 and March 10, 2023, subject to continued employment of the Company. |
(10) | 15,000 restricted stock units were granted on March 11, 2019. 7,500 of these restricted stock units have vested and settled and 7,500 are scheduled to vest ratably in equal installments on March 10, 2022 and March 10, 2023, subject to continued employment of the Company. |
(11) | 11,000 of these restricted stock units vest in four equal installments on the first four anniversaries of March 17, 2020 and 19,500 of these restricted stock units will vest on December 31, 2022, in each case, subject to continued employment with the Company. |
(12) | 28,557 of these restricted stock units vest in four equal installments on the first four anniversaries of March 29, 2021, subject to continued employment with the Company. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Betjemann Jessica 111 N. CANAL STREET, STE 1400 CHICAGO, IL 60606 |
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| SVP, Finance, Treasurer & CAO |
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Signatures
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/s/ Marguerite M. Elias, Attorney-in-Fact for Jessica Betjemann | | 8/13/2021 |
**Signature of Reporting Person | Date |
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