Statement of Changes in Beneficial Ownership (4)
January 04 2023 - 05:36PM
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 * Barravecchia
John R |
2. Issuer Name and Ticker or Trading
Symbol TILT Holdings Inc. [ TLLTF ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
(Last)
(First)
(Middle)
C/O TILT HOLDINGS INC., 2801 E. CAMELBACK ROAD
#180 |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/30/2022
|
(Street)
PHOENIX, AZ 85016
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ 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 |
Common Shares, no par value |
12/30/2022 |
|
M |
|
144121 |
A |
$0.00 |
876009 |
D |
|
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 |
Restricted Share Units |
$0.00 (1) |
12/30/2022 |
|
M |
|
|
144121 |
(2) |
(3) |
Common Shares, no par value |
144121 |
$0.00 |
288244 |
D |
|
Explanation of
Responses: |
(1) |
Each restricted share unit
("RSU") is equivalent in value to one share of the Issuer's common
shares, no par value, at the time of vesting for no
consideration. |
(2) |
The RSUs vested as to
144,121 shares on December 30, 2022, and 144,122 RSUs will vest on
March 31, 2023 and 144,122 RSUs will vest on the business day
immediately preceding the date of the Issuer's next annual general
meeting of shareholders, subject to the Reporting Person continuing
as a director on each vesting date. |
(3) |
RSUs do not expire, they
either vest or are cancelled. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Barravecchia John R
C/O TILT HOLDINGS INC.
2801 E. CAMELBACK ROAD #180
PHOENIX, AZ 85016 |
X |
|
|
|
Signatures
|
/s/ Mark Higgins as attorney-in-fact for John
Barravecchia |
|
1/4/2023 |
**Signature
of Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
TILT (QX) (USOTC:TLLTF)
Historical Stock Chart
From Feb 2023 to Mar 2023
TILT (QX) (USOTC:TLLTF)
Historical Stock Chart
From Mar 2022 to Mar 2023