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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) |
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 | ||||||||
Class B Common Stock | (4) | (4) | (4) | Class A Common Stock | 7,654,506 | 7,654,506 | I | by Chicken Soup for the Soul, LLC (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROUHANA WILLIAM J JR C/O CHICKEN SOUP FOR THE SOUL ENTERTAINM 132 E. PUTNAM AVENUE, FL. 2 COS COB, CT 06807 |
X | X | Chief Executive Officer | |
Chicken Soup for the Soul Holdings, LLC C/O CHICKEN SOUP FOR THE SOUL ENTERTAINM 132 E. PUTNAM AVENUE, FL. 2 COS COB, CT 06807 |
X | |||
Chicken Soup for the Soul Productions, LLC C/O CHICKEN SOUP FOR THE SOUL ENTERTAINM 132 E. PUTNAM AVENUE, FL. 2 COS COB, CT 06807 |
X |
William J. Rouhana, Jr. | 09/12/2023 | |
**Signature of Reporting Person | Date | |
William J. Rouhana, Jr., as managing member of Chicken Soup for the Soul, LLC fka Chicken Soup for the Soul Productions, LLC | 09/12/2023 | |
**Signature of Reporting Person | Date | |
William J. Rouhana, Jr., as managing member of Chicken Soup for the Soul Holdings, LLC | 09/12/2023 | |
**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) | Represents shares of the Issuer's Class A common stock issued to Chicken Soup for the Soul, LLC pursuant to the CSS Agreements Modification dated March 30, 2023. |
(2) | Chicken Soup for the Soul, LLC, immediate parent of the Issuer, is an entity controlled by reporting person, William J. Rouhana, Jr., the Chief Executive Officer and a Director of the Issuer. This entity was formerly known as Chicken Soup for the Soul Productions, LLC. Chicken Soup for the Soul, LLC is owned by Chicken Soup for the Soul Holdings, LLC, which is also an entity controlled by Mr. Rouhana. |
(3) | Trema, LLC is an entity controlled by Mr. Rouhana. |
(4) | The Class B Common Stock is convertible into the Issuer's Class A Common Stock as described under the heading "Description of Securities - Common Stock" in the Issuer's offering statement on Form 1-A (File No. 024-10704). The Class B Common Stock has no expiration date. |