Statement of Changes in Beneficial Ownership (4)
July 13 2021 - 10:59AM
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
*
Simpson Kristopher |
2. Issuer Name and Ticker or Trading Symbol
URBAN ONE, INC.
[
UONE/UONEK
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP & General Counsel |
(Last)
(First)
(Middle)
1010 WAYNE AVENUE, FLOOR 14 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/9/2019 |
(Street)
SILVER SPRING, MD 20910
(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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Class D Common Stock | 7/9/2019 | | A | | 30000 | A | (1) | 30000 | D | |
Class D Common Stock | 7/9/2020 | | F | | 3195 | D | $1.74 | 26805 | D | |
Class D Common Stock | 7/9/2020 | | S | | 6805 | D | $1.74 | 20000 | D | |
Class D Common Stock | 7/9/2021 | | F | | 3285 | D | $5.38 | 16715 (2) | 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. 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) | Represents a grant of restricted stock units under the Urban One, Inc. 2019 Equity and Other Incentive Plan. On July 9, 2019, Mr. Simpson was granted 30,000 restricted shares of Class D Common Stock. The grant vested or vests in three equal tranches of 10,000 on each of July 9, 2020, July 9, 2021 and July 9, 2022. |
(2) | The total represents all shares held by the reporting person across all classes of Urban One, Inc. stock, Classes A, B, C, and D. The reporting person beneficially owns a total of 16,715 shares of Urban One, Inc. common stock as follows: 16,715 shares of Class D common stock. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Simpson Kristopher 1010 WAYNE AVENUE FLOOR 14 SILVER SPRING, MD 20910 |
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| SVP & General Counsel |
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Signatures
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Kristopher Simpson | | 7/13/2021 |
**Signature of Reporting Person | Date |
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