Initial Statement of Beneficial Ownership (3)
August 30 2019 - 5:57PM
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
*
Sheeran Gerald Anthony |
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/22/2019
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3. Issuer Name and Ticker or Trading Symbol
SG BLOCKS, INC. [SGBX]
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(Last)
(First)
(Middle)
C/O SG BLOCKS, INC., 195 MONTAGUE STREET, 14TH FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Financial Officer / |
(Street)
BROOKLYN, NY 11201
(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 | 8333 (1) | 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 Option (right to buy) | (2) | 3/30/2028 | Common Stock | 25000 | $4.61 | D | |
Explanation of Responses: |
(1) | Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest in full on December 31, 2019, subject to the reporting person's continued service as an employee of the issuer through such date, and are deliverable January 1, 2020. |
(2) | The stock option was granted on March 30, 2018 and shall vest and become exercisable in twelve equal quarterly installments over a three-year period, beginning on June 30, 2018. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sheeran Gerald Anthony C/O SG BLOCKS, INC. 195 MONTAGUE STREET, 14TH FLOOR BROOKLYN, NY 11201 |
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| Chief Financial Officer |
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Signatures
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/s/ Gerald Sheeran | | 8/30/2019 |
**Signature of Reporting Person | Date |
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