Statement of Changes in Beneficial Ownership (4)
October 29 2021 - 5:17PM
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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Kaplan Jed Philip |
2. Issuer Name and Ticker or Trading Symbol
SIMPLICITY ESPORTS & GAMING Co
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WINR
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O SIMPLICITY ESPORTS & GAMING COMPANY, 7000 W. PALMETTO PARK RD., SUITE 505 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/27/2021 |
(Street)
BOCA RATON, FL 33433
(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 | 10/27/2021 | | S(1) | | 2800 | D | $8.5018 | 40200 | I | See footnote (2) |
Common Stock | 10/28/2021 | | S(1) | | 108 | D | $9.5 | 40092 | I | See footnote (2) |
Common Stock | 10/29/2021 | | S(1) | | 2200 | D | $8.498 | 37892 | I | See footnote (2) |
Common Stock | | | | | | | | 230263 (3) | D | |
Common Stock | | | | | | | | 2440 | I | By spouse |
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 sale by the Kaplan Charitable Foundation, of which the reporting person serves as trustee. Section 4942 of the Internal Revenue Code of 1986, as amended, requires a private foundation to annually distribute 5% of the fair market value of its assets. This sale represents a part of the Kaplan Charitable Foundation's annual required distribution. |
(2) | Held by the Kaplan Charitable Foundation, of which the reporting person serves as trustee. |
(3) | Of the 230,263 shares directly beneficially owned by the reporting person, (i) 215,263 shares are held
by the reporting person, and (ii) 15,000 shares are held jointly by the reporting person and his spouse. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kaplan Jed Philip C/O SIMPLICITY ESPORTS & GAMING COMPANY 7000 W. PALMETTO PARK RD., SUITE 505 BOCA RATON, FL 33433 | X | X |
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Signatures
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/s/ Jed Kaplan | | 10/29/2021 |
**Signature of Reporting Person | Date |
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