GERACI JOSEPH ANTHONY II 4/A

4/A · Mill City Ventures III, Ltd · Filed Dec 1, 2022

Form 4/AAmended

Period: 2022-11-23

DirectorChief Financial Officer10% Owner

Transactions

Award
Non-qualified stock option
2022-11-23+250,000→ 250,000 total
Exercise: $2.12From: 2022-11-23Exp: 2032-11-22→ Common stock (250,000 underlying)

Holdings

Footnotes (5)

[F1]A Minnesota limited liability company of which the reporting person is a member and manager. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest.
[F2]Of the reported amount, 10,000 common shares are subject to forfeiture pursuant to a restricted stock agreement with the issuer. Subject to the terms of the restricted stock grant agreement, those 10,000 shares are scheduled to vest on January 24, 2023.
[F3]These common shares were transferred as a bona fide gift but remain "beneficially owned" under 17 CFR 240.13d-3. The reporting person disclaims beneficial ownership of these shares.
[F4]Options were issued to the reporting person pursuant to an award approved, without restrictions, by the Compensation Committee of the Board of Directors of the issuer on November 23, 2022. The exercise price is the closing market price of the common stock on the date of the award.
[F5]The options are not exercisable by their terms unless and until the related equity compensation plan shall have been approved by the issuer's shareholders.

Documents

1 file