Statement of Changes in Beneficial Ownership (4)
May 15 2020 - 12:10PM
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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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
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Herrmann William H Jr |
2. Issuer Name and Ticker or Trading Symbol
SIMPLICITY ESPORTS & GAMING Co
[
WINR
]
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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 SIMPLICITY ESPORTS & GAMING COMPANY, 7000 W. PALMETTO PARK RD., SUITE 505 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/28/2018 |
(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 | 12/28/2018 | | J(1) | | 11000 | A | (1) | 11000 | D | |
Common Stock | 12/28/2018 | | A | | 7500 | A | $0.00 | 18500 | D | |
Common Stock | 3/4/2019 | | P | | 2358 | A | $1.1829 | 20858 | D | |
Common Stock | 3/13/2019 | | P | | 142 | A | $1.189 | 21000 | D | |
Common Stock | 5/1/2020 | | P | | 2000 | A | $0.83 | 23000 | D | |
Common Stock | 5/1/2020 | | P | | 500 | A | $0.81 | 23500 | D | |
Common Stock | 5/7/2020 | | P | | 23809 | A | $1.05 | 47309 | 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 |
Warrant (right to buy) | $11.50 | 12/28/2018 | | J (1) | | 10000 | | 1/27/2019 | 5/22/2024 | Common Stock | 10000 | (1) | 10000 | D | |
Explanation of Responses: |
(1) | On December 28, 2018, the reporting person purchased 10,000 of the issuer's units at a purchase price of $10.00 per unit in a public offering. Each unit consisted of one share of the issuer's common stock, one right and one warrant. Each right entitled the holder thereof to receive 1/10 of one share of the issuer's common stock upon the consummation of an initial business combination. Each warrant entitled the holder thereof to purchase one share of the issuer's common stock at an exercise price of $11.50 per share. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Herrmann William H Jr C/O SIMPLICITY ESPORTS & GAMING COMPANY 7000 W. PALMETTO PARK RD., SUITE 505 BOCA RATON, FL 33433 | X |
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Signatures
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/s/ William H. Herrmann, Jr. | | 5/15/2020 |
**Signature of Reporting Person | Date |
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