Statement of Changes in Beneficial Ownership (4)
May 07 2021 - 5:20PM
Edgar (US Regulatory)
FORM 4
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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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3235-0287
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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
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Lu Jingsheng |
2. Issuer Name and Ticker or Trading Symbol
Allied Esports Entertainment, Inc.
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AESE
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
FLOOR 3, BUILDING NO 20, XINYUANLI WEST, CHAOYANG DISTRICT |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/6/2021 |
(Street)
BEHING, F4 00000
(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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Common Stock | | | | | | | | 0 | D | |
Common Stock | | | | | | | | 11986523 | I | Held by Primo Vital Limited (1) |
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 |
Stock Options (right to buy) | $2.48 | 5/6/2021 | | A | | 40000 | | (2) | 5/6/2031 | Common Stock | 40000 | $0 | 40000 | D | |
Explanation of Responses: |
(1) | Primo Vital Limited ("Primo") is a wholly owned subsidiary of Ourgame International Holdings, Ltd. The Reporting Person is the CEO of Ourgame International Holdings, Ltd. The Reporting Person may exercise voting and dispositive power over the shares beneficially owned by Primo, and disclaims any beneficial ownership in such shares except to the extent of his pecuniary interest. |
(2) | 10,000 shares vest on each of 5/6/2022, 5/6/2023, 5/6/2024 and 5/6/2025. |
Remarks: Exhibit 24.1 Power of Attorney filed with Form 3 on May 7, 2021 and incorporated herein by reference. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lu Jingsheng FLOOR 3, BUILDING NO 20, XINYUANLI WEST CHAOYANG DISTRICT BEHING, F4 00000 | X | X |
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Signatures
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/s/ David J. Polgreen, as attorney-in-fact | | 5/7/2021 |
**Signature of Reporting Person | Date |
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