Statement of Changes in Beneficial Ownership (4)
February 16 2021 - 4:29PM
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
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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
*
Vroman Brett Earl James |
2. Issuer Name and Ticker or Trading Symbol
Vinco Ventures, Inc.
[
BBIG
]
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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)
Chief Financial Officer |
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(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 |
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(Street)
BETHLEHEM, PA 18018
(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 | 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)
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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 |
| 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
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| 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 |
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| Chief Financial Officer |
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Signatures
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| /s/ Brett Vroman | | 2/16/2021 |
| **Signature of Reporting Person | Date |
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