SEC Form 3 · accession 0001415889-19-000288

Super League Gaming, Inc. · SLE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Feb 25, 2019

Accepted (ET)

Mar 7, 2019 · 7:15 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001621672

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	holding	—	—		—	5,455	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
9.00% Secured Convertible Promissory Note^F2,F3	—	holding	—	—	—	—	—	Common Stock	—	—	I
Common Stock Purchase Warrant	$9.35	holding	—	—	—	May 28, 2018	May 28, 2023	Common Stock	54,465	—	I
Common Stock Purchase Warrant	$9.35	holding	—	—	—	May 30, 2018	May 30, 2023	Common Stock	10,696	—	I
Common Stock Purchase Warrant	$9.35	holding	—	—	—	Aug 17, 2018	Aug 17, 2023	Common Stock	21,070	—	I
9.00% Secured Convertible Promissory Note^F2,F3	—	holding	—	—	—	—	—	Common Stock	—	—	I
Common Stock Purchase Warrant	$10.80	holding	—	—	—	Mar 14, 2018	Mar 14, 2023	Common Stock	9,260	—	I
9.00% Secured Convertible Promissory Note^F2,F3	—	holding	—	—	—	—	—	Common Stock	—	—	I
9.00% Secured Convertible Promissory Note^F2,F3	—	holding	—	—	—	—	—	Common Stock	—	—	I
Common Stock Purchase Warrant	$9.35	holding	—	—	—	Aug 17, 2018	Aug 17, 2023	Common Stock	2,674	—	I
Common Stock Purchase Warrant	$9.35	holding	—	—	—	Aug 17, 2018	Aug 17, 2023	Common Stock	2,674	—	I

F1Consists of 5,455 restricted stock units ("RSUs"), which RSUs will vest in equal installments on a monthly basis and will vest in full on February 25, 2020.
F2Upon closing of the Issuer's initial public offering (the "IPO"), all outstanding principal and accrued but unpaid interest of the 9.00% Secured Convertible Promissory Notes (the "Notes") will automatically convert into shares of the Issuer's common stock at a conversion price equal to the lesser of (i) $10.80 or (ii) the initial public offering price per share of the Issuer's common stock, less a 15% discount.
F3The Notes will mature on the earlier to occur of (i) the Issuer's IPO or (ii) April 30, 2019.