Simpson Tom 4

4 · Kaspien Holdings Inc. · Filed May 5, 2021

Form 4

Period: 2021-05-03

Director

Transactions

Award
Common stock, par value $0.1 per share
2021-05-03$20.41/sh+3,000$61,230→ 60,000 total
Award
Director Stock Option (Right to Buy)
2021-05-03+1,250→ 2,000 total
Exercise: $20.41Exp: 2031-05-03→ Common stock, par value $0.1 per share (1,250 underlying)

Holdings

Warrant to purchase common stock, par value $0.01 per share
(indirect: By LLC)
Exercise: $0.01From: 2020-03-30Exp: 2025-03-30→ Common stock, par value $0.01 per share (1,448 underlying)
1,448
Common stock, par value $0.01 per share
(indirect: By LLC)
12,593
Common stock. par value $0.01 per share
(indirect: By LLC)
8,395
Common stock, par value $0.01 per share
(indirect: By WIN Partners)
23,879
Common stock, par value $0.01 per share
(indirect: By LLC)
9,737
Common stock, par value $0.01 per share
(indirect: By Spouse)
25
Warrant to purchase common stock, par value $0.01 per share
(indirect: By LLC)
Exercise: $0.01From: 2020-03-30Exp: 2025-03-30→ Common stock, par value $0.1 per share (965 underlying)
965

Footnotes (7)

[F1]The equity transactions listed above is pursuant to equity plans qualified under 16b-3 and exempt from Section 16(b) of the Securities Exchange Act
[F2]Option grants become exercisable in 4 equal annual installments beginning on the first anniversary of the date of grant and expire 10 years after grant.
[F3]Annual compensation paid in shares of common stock pursuant to the 2005 Long Term Incentive and Share Award Plan, as Amended, which such plan qualifies under Section 16(b)-3
[F4]Securities held by Kick Start, LLC. Mr. Simpson holds an interest, manages and has voting control of Kick Start, LLC.
[F5]Securities held by Kick Start III, LLC. Mr. Simpson holds an interest, manages and has voting control of Kick Start III, LLC.
[F6]Securities held by Kick Start IV, LLC. Mr. Simpson holds an interest, manages and has voting control of Kick Start IV, LLC.
[F7]Securities held by WIN Partners. Mr. Simpson holds an interest, manages and has voting control of WIN Partners.

Documents

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