Statement of Changes in Beneficial Ownership (4)
April 15 2021 - 5:50PM
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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3235-0287
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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
*
John Sharon Price |
2. Issuer Name and Ticker or Trading Symbol
BUILD-A-BEAR WORKSHOP INC
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BBW
]
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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 CEO |
(Last)
(First)
(Middle)
C/O BUILD-A-BEAR WORKSHOP, INC., 415 SOUTH 18TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/13/2021 |
(Street)
ST. LOUIS, MO 63103
(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 | 4/13/2021 | | A | | 45510 (1) | A | (2) | 594211 | D | |
Common Stock | 4/13/2021 | | A | | 32521 (3) | A | (2) | 626732 | D | |
Common Stock | 4/14/2021 | | F | | 21675 (4) | D | $8.30 | 605057 (5) | 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) | Grant to reporting person of 45,510 shares of restricted stock. The shares vest in equal installments on April 30, 2022, April 30, 2023, and April 30, 2024. |
(2) | Price is not applicable to grants of restricted stock. |
(3) | Grant to reporting person of restricted stock upon payout of earned performance share award under a shareholder-approved equity incentive plan. The payout was based on the level of achievement of financial targets for fiscal 2018, 2019 and 2020. The shares will vest, subject to the reporting person's continued employment with the issuer, on April 30, 2021. |
(4) | Shares surrendered in payment of tax withholding due upon vesting of restricted stock. |
(5) | After giving effect to the transactions reported in this Form 4, Ms. John directly owns 307,427 shares of common stock and 297,630 shares of restricted stock of Build-A-Bear Workshop, Inc. In addition, Ms. John holds vested options to purchase 421,955 shares of Build-A-Bear Workshop, Inc.'s common stock. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
John Sharon Price C/O BUILD-A-BEAR WORKSHOP, INC. 415 SOUTH 18TH STREET ST. LOUIS, MO 63103 | X |
| President and CEO |
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Signatures
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/s/ Eric R. Fencl, attorney-in-fact for Sharon Price John | | 4/15/2021 |
**Signature of Reporting Person | Date |
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