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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| KOSS MICHAEL J C/O KOSS CORPORATION 4129 N. PORT WASHINGTON AVE. MILWAUKEE, WI 53212 |
X | X | President and CEO | |
| /s/ Kim M. Schulte, as attorney-in-fact | 06/03/2022 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | These shares were distributed upon the dissolution of the Koss Family Trust for no consideration to Michael J. Koss, as voting trustee of the voting trust established pursuant to that certain Restatement of Koss Family Voting Trust, dated March 23, 2022 (the "Voting Trust"). |
| (2) | These shares were distributed upon the dissolution of the Nancy Koss Trust for no consideration to Michael J. Koss, as voting trustee of the Voting Trust. |
| (3) | These shares were transferred from the family corporation for no consideration to Michael J. Koss, as voting trustee of the Voting Trust. |
| (4) | The reporting person holds these shares in his capacity as voting trustee of the voting trust established by that certain Restatement of Koss Family Voting Trust, dated March 23, 2022. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| (5) | These shares are held through two separate trusts. Each trust benefits an adult child of the reporting person. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |