Statement of Changes in Beneficial Ownership (4)
May 21 2021 - 2:41PM
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
*
DENNEDY JIM |
2. Issuer Name and Ticker or Trading Symbol
urban-gro, Inc.
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UGRO
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and COO |
(Last)
(First)
(Middle)
1751 PAMORAMA POINT, SUITE G |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/14/2021 |
(Street)
LAFAYETTE, CO 80026
(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 | 5/14/2021 | | P | | 6500 | A | $7.48 | 339834 | I | Ownership of entity which holds the stock in urban-gro |
Common Stock | 5/17/2021 | | P | | 10000 | A | $7.95 | 349834 | I | Ownership of entity which holds the stock in urban-gro |
Common Stock | 5/19/2021 | | P | | 8500 | A | $7.7 | 358334 | I | Ownership of entity which holds the stock in urban-gro |
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: |
Remarks: 1. The reporting person is the sole equity holder of Hamilton-Madison Group, LLC and as such may be deemed to beneficially own the shares held by it. 2. The reporting person is the managing member of HMG Partners I, LLC and as such may be deemed to beneficially own the shares held by it. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
DENNEDY JIM 1751 PAMORAMA POINT SUITE G LAFAYETTE, CO 80026 | X |
| President and COO |
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Signatures
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/s/ James H. Dennedy | | 5/21/2021 |
**Signature of Reporting Person | Date |
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