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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 | ||||||||
| Restricted Stock Unit ("RSU") | (4) | 01/01/2023 | M | 4,412 | (1) | (1) | Common Stock | 4,412 | $ 18.54 (3) | 0 (2) (6) | D | ||||
| Restricted Stock Unit ("RSU") | (4) | 01/01/2023 | M | 2,206 | (1) | (1) | Common Stock | 2,206 | $ 18.54 (3) | 2,206 (2) (6) | D | ||||
| Restricted Stock Unit ("RSU") | (4) | 01/01/2023 | D | 2,206 | (5) | (5) | Common Stock | 2,206 | $ 18.54 (3) | 0 (2) (6) | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Kimble John Louis C/O JAKKS PACIFIC, INC. 2951 28TH STREET SANTA MONICA, CA 90405 |
Chief Financial Officer | |||
| /s/ JOHN L. KIMBLE | 03/09/2023 | |
| **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) | Vested according to the terms of the RSU described in a previous filing. |
| (2) | Certain of the shares may be restricted from transfer pursuant to the minimum stock ownership provisions adopted by the Company's Board of Directors. |
| (3) | Represents the closing price of the Company's common stock for the trading day preceding the date of vest, as reported by NASDAQ. |
| (4) | Issued under the Company's 2002 Stock award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred or otherwise encumbered prior to vesting. |
| (5) | Represents shares underlying RSUs which did not meet the vesting performance criteria and were forfeited. |
| (6) | Does not include additional RSUs previously granted and reported with different vesting terms. |
| Remarks: All numbers have been adjusted to reflect the 1-for-10 reverse stock split that was effective July 9, 2020. |
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