4//SEC Filing
DENNEDY JIM 4
Accession 0001493152-22-025545
CIK 0001706524other
Filed
Sep 8, 8:00 PM ET
Accepted
Sep 9, 9:30 PM ET
Size
12.1 KB
Accession
0001493152-22-025545
Insider Transaction Report
Form 4
urban-gro, Inc.UGRO
DENNEDY JIM
DirectorPresident and COO
Transactions
- Disposition to Issuer
Common Stock subject to Vesting/forfeiture
2022-08-26−129,190→ 37,837 total - Award
Common Stock Option
2018-08-22+16,667→ 16,667 totalExercise: $7.20Exp: 2028-08-22→ Common Stock (16,667 underlying) - Award
Common Stock Option
2019-04-01+3,333→ 20,000 totalExercise: $7.20Exp: 2029-04-01→ Common Stock (3,333 underlying)
Holdings
- 160,155(indirect: Ownership of entity which holds the stock in the Issuer)
Common Stock
Footnotes (4)
- [F1]On August 26, 2022, the Issuer announced that the Reporting Person (also has reported as Dennedy, James H. in prior filings) is resigning from his positions as a Director and Executive Officer of the Issuer. The 129,190 Shares of Common Stock represent Shares previously reported by the Reporting Person that will not vest or be issued in the future. The Reporting Person directly owns 37,873 Shares of Common Stock following the forfeiture of non-vesting restricted stock grants.
- [F2]The Reporting Person is the sole equity holder of Hamilton-Madison Group, LLC and as such may be deemed to beneficially own the shares held by it. The reporting person was the managing member of HMG Partners I, LLC and such entity has subsequently been dissolved and its shares distributed to its members.
- [F3]The stock option was issued in connection with the Reporting Person serving as Board Director and vested proportionately over a three-year period on each annual period beginning on August 22, 2019; the stock option fully vested on August 22, 2021. The 16,667 shares are as adjusted for a reverse stock split which occurred on 12/31/2020.
- [F4]The stock option was issued in connection with the Reporting Person serving on Board Committees for the prior year and immediately vested upon issuance. The 3,333 shares are as adjusted for a reverse stock split which occurred on 12/31/2020.
Documents
Issuer
urban-gro, Inc.
CIK 0001706524
Entity typeother
Related Parties
1- filerCIK 0001249723
Filing Metadata
- Form type
- 4
- Filed
- Sep 8, 8:00 PM ET
- Accepted
- Sep 9, 9:30 PM ET
- Size
- 12.1 KB