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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants to Purchase Class A Stock | $ 11.5 | 08/19/2021 | P | 1,000 (1) | 08/19/2021 | 07/20/2026 | Class A Common Stock | 1,000 | $ 0.8498 (5) | 1,000 | D | ||||
Class B Units | (3) | (3) | (3) | Class A Common Stock | 121,718 | 121,718 | I | See Footnote (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hawkins Alex C/O STRYVE FOODS, INC. 5801 TENNYSON PARKWAY, SUITE 275 PLANO, TX 75024 |
CFO & COO |
/s/ Alex Hawkins by John J. Wolfel, Attorney-in-Fact | 08/25/2021 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This amendment is solely to correct the number of shares of Class A Common Stock and Warrants to Purchase Class A Stock purchased. |
(2) | The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $5.75 to $6.25, inclusive. The Reporting Person undertakes to provide Stryve Foods, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein. |
(3) | Subject to the terms of an Exchange Agreement with the Company, a set of one Class B Unit and one share of Class V Common Stock is exchangeable for one share of Class A Common Stock of the Company after the expiration of a lock-up applicable to such securities. The Class V Common Stock provides the holder with voting rights, but not economic rights, with respect to the Company. |
(4) | All shares of Class V Common Stock and Class B Units are beneficially owned as a member of Stryve Foods Holdings, LLC. |
(5) | The price reported in Column 8 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $0.84 to $0.85, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein. |