Statement of Changes in Beneficial Ownership (4)
June 04 2020 - 4:40PM
Edgar (US Regulatory)
FORM 4
[X]
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
*
Grossman Steven Michael |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President of Subsidiary |
(Last)
(First)
(Middle)
C/O SIMPLICITY ESPORTS & GAMING COMPANY, 7000 W. PALMETTO PARK RD., SUITE 505 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/4/2019 |
(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 | 1/4/2019 | | J(1) | | 306020 | A | $0 (1) | 306020 | D | |
Common Stock | 3/27/2019 | | J(2) | | 4000 | A | $0 (2) | 310020 | D | |
Common Stock | 9/17/2019 | | J(2) | | 14000 | A | $0 (2) | 324020 | 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) | Such shares were acquired in connection with the closing, on January 4, 2019, of a share exchange between the issuer and Simplicity Esports LLC, pursuant to which Simplicity Esports LLC became a wholly owned subsidiary of the issuer. As of the closing date, the reporting person was President of Simplicity Esports LLC. Effective February 1, 2020, the reporting person ceased to be an executive officer of the issuer. |
(2) | Such shares were granted to the reporting person by the issuer pursuant to an employment agreement between the reporting person and the issuer. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Grossman Steven Michael C/O SIMPLICITY ESPORTS & GAMING COMPANY 7000 W. PALMETTO PARK RD., SUITE 505 BOCA RATON, FL 33433 |
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| President of Subsidiary |
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Signatures
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/s/ Steven M. Grossman | | 6/4/2020 |
**Signature of Reporting Person | Date |
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