Amended Statement of Changes in Beneficial Ownership (4/a)
December 22 2020 - 05:00PM
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
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
1. Name
and Address of Reporting Person * GARCIA ERNEST C.
II |
2. Issuer Name and Ticker or Trading
Symbol CARVANA CO. [ CVNA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director __X__
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
(Last)
(First)
(Middle)
1720 W. RIO SALADO PARKWAY, SUITE A |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/18/2020
|
(Street)
TEMPE, AZ 85281
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
12/21/2020
|
6. Individual or Joint/Group Filing
(Check Applicable Line) ___
Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting
Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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 |
Class A Units |
(1) |
12/18/2020 |
|
C (2) |
|
|
62500 |
(1) |
(1) |
Class A Common Stock |
50000 |
$0.00 |
59612915 |
D |
|
Explanation of
Responses: |
(1) |
Reflects the conversion of
Class A Common Units ("Class A Units") of Carvana Group, LLC
("Carvana Group") owned directly by Ernest C. Garcia II into shares
of Class A Common Stock ("Class A Shares") of the Issuer pursuant
to the Exchange Agreement, dated April 27, 2017, by and among the
Issuer, Carvana Co. Sub LLC, Carvana Group and the members of
Carvana Group (the "Exchange Agreement"). |
(2) |
This amendment on Form 4/A
to the Form 4 originally filed on December 21, 2020 is made solely
to correct the Transaction Code reported in Column 4 of Table II,
which should have been reported as Code C in the original Form
4. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
GARCIA ERNEST C. II
1720 W. RIO SALADO PARKWAY, SUITE A
TEMPE, AZ 85281 |
|
X |
|
|
VERDE INVESTMENTS, INC.
1720 W. RIO SALADO PARKWAY, SUITE A
TEMPE, AZ 85281 |
|
X |
|
|
Signatures
|
/s/ Ernest C. Garcia II |
|
12/22/2020 |
**Signature of Reporting
Person |
Date |
/s/ Ernest C. Garcia II, Verde Investments,
Inc. |
|
12/22/2020 |
**Signature of Reporting
Person |
Date |