Statement of Changes in Beneficial Ownership (4)
February 16 2021 - 04:29PM
Edgar (US Regulatory)
FORM 4
[ ]
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
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
1. Name
and Address of Reporting Person * Vroman Brett Earl
James |
2. Issuer Name and Ticker or Trading
Symbol Vinco Ventures, Inc. [ BBIG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chief Financial Officer |
(Last)
(First)
(Middle)
C/O VINCO VENTURES, INC., 1 WEST BROAD STREET, SUITE
1004 |
3. Date of Earliest Transaction (MM/DD/YYYY)
2/10/2021
|
(Street)
BETHLEHEM, PA 18018
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
2/10/2021 |
|
A |
|
150000 |
A |
$1.76 (1) |
203000 (2) |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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 |
Explanation of
Responses: |
(1) |
The price reported in Column
4 is the closing stock price on November 12, 2020, which is the
Effective date of Mr. Vroman's 2020 Employment Agreement. These
shares were issued to Mr. Ferguson on February 10, 2021 under the
Company's 2018 Amended and Restated Omnibus Incentive
Plan. |
(2) |
Includes 150,000 shares
issued pursuant to Mr. Vroman's Employment Agreement, 3,000 shares
issued to Mr. Vroman upon his initial employment and 50,000
Restricted Stock Units ("RSU") received by Mr. Vroman in exchange
for an option to purchase 80,000 shares of common
stock. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Vroman Brett Earl James
C/O VINCO VENTURES, INC.
1 WEST BROAD STREET, SUITE 1004
BETHLEHEM, PA 18018 |
|
|
Chief Financial Officer |
|
Signatures
|
/s/ Brett Vroman |
|
2/16/2021 |
**Signature of
Reporting Person |
Date |