Statement of Changes in Beneficial Ownership (4)
June 11 2021 - 5:56PM
Edgar (US Regulatory)
FORM 4
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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
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Clark Maxine |
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 _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O BUILD-A-BEAR WORKSHOP, INC., 415 SOUTH 18TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/9/2021 |
(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 | 6/9/2021 | | S | | 26755 | D | $17.3 (1) | 43293 | D | |
Common Stock | 6/10/2021 | | A | | 4624 (2) | A | (3) | 47917 (4) | D | |
Common Stock | | | | | | | | 93631 | I | Smart Stuff, Inc. |
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) | The reporting price is the weighted average sale price per share for 35 transactions in which the sale prices range from $17.00 to $18.30 per share. The Reporting Person undertakes to provide full information regarding the number of shares sold at each separate sale price upon request of the Securities and Exchange Commission staff, the issuer or any security holder of the issuer. |
(2) | Grant to Reporting Person of 4,624 shares of restricted stock. The shares vest on June 10, 2022. |
(3) | Price is not applicable to grants of restricted stock. |
(4) | After giving effect to the transaction reported in this Form 4, Ms. Clark directly beneficially owns 43,293 shares of common stock and 4,624 shares of restricted stock of Build-A-Bear Workshop, Inc. 29,304 restricted shares vested on June 11, 2021, a day after the last above reported transaction. For purposes of this footnote, we have included these 29,304 shares as common stock instead of restricted, making this footnote accurate as of the date of filing. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Clark Maxine C/O BUILD-A-BEAR WORKSHOP, INC. 415 SOUTH 18TH STREET ST. LOUIS, MO 63103 | X |
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Signatures
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/s/ Eric R. Fencl, as Attorney-in-Fact for Maxine Clark | | 6/11/2021 |
**Signature of Reporting Person | Date |
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