SEC Form 4 · accession 0001615774-17-005112
SIMPLICITY ESPORTS & GAMING Co · WINR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
I-AM Capital Partners LLC
10% Owner
Period of report
Sep 13, 2017
Accepted (ET)
Sep 15, 2017 · 2:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001708410
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 13, 2017 | J | 137,500 | $0.00 | D | 1,554,500 | D | |
| Common StockF2 | Sep 13, 2017 | P | 7,000 | $10.00 | A | 1,561,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As contemplated in connection with the initial public offering of the issuer, 137,500 shares of common stock of the issuer were returned by I-AM Capital Partners LLC to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full.
- F2These shares are underlying units (each unit consisting of one share of common stock, one right entitling the holder thereof to receive one-tenth (1/10) of one share of common stock upon the consummation of an initial business combination and one warrant to purchase one share of common stock) held by I-AM Capital Partners LLC, pursuant to an amended and restated unit purchase agreement by and between I-AM Capital Partners LLC and the issuer.