Statement of Changes in Beneficial Ownership (4)
December 07 2020 - 4:31PM
Edgar (US Regulatory)
FORM 4
[X]
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
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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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1. Name and Address of Reporting Person
*
Bailey Lucas |
2. Issuer Name and Ticker or Trading Symbol
Whole Earth Brands, Inc.
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FREE
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Pres., Flavors & Ingredients |
(Last)
(First)
(Middle)
C/O WHOLE EARTH BRANDS, INC., 125 S. WACKER DRIVE, SUITE 3150 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/4/2020 |
(Street)
CHICAGO, IL 60606
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 Stock Units | (1) | 12/4/2020 | | D | | | 61411 | (1) | (1) | Common Stock | 0 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | Represents unvested restricted stock units that were forfeited upon the reporting person's resignation as President of Flavors & Ingredients effective December 4, 2020. |
Remarks: The reporting person resigned as Whole Earth Brands, Inc.'s President of Flavors & Ingredients effective December 4, 2020. As a result, the reporting person is no longer subject to Section 16 in connection with his transactions in the equity securities of Whole Earth Brands, Inc. and therefore will no longer report any such transactions on Form 4 or Form 5. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bailey Lucas C/O WHOLE EARTH BRANDS, INC. 125 S. WACKER DRIVE, SUITE 3150 CHICAGO, IL 60606 |
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| Pres., Flavors & Ingredients |
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Signatures
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/s/ Lucas Bailey, by Ira W. Schlussel, as Attorney-in-Fact | | 12/7/2020 |
**Signature of Reporting Person | Date |
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