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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 | |
| Wool Kyle Michael 725 5TH AVENUE, 22ND FLOOR NEW YORK, NY 10022 |
X | X | ||
| Yu Soo 725 5TH AVENUE, 22ND FLOOR 11TH FLOOR NEW YORK, NY 10022 |
X | X | ||
| /s/ Kyle Wool | 11/28/2023 | |
| **Signature of Reporting Person | Date | |
| /s/ Soo Yu | 11/28/2023 | |
| **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) | Reflects an open market purchase of shares of the Issuer's common stock by the Reporting Person's Rollover IRA. |
| (2) | The securities are directly held by Mr. Wool's Rollover IRA, and they are indirectly held by Mr. Wool. Mr. Wool exercises control over the Rollover IRA, and as such, has voting and investment power over the shares held by the Rollover IRA. |
| (3) | Of the 818,858 shares reported as beneficially owned directly, 206,919 shares are beneficially owned directly by Mr. Wool and 611,939 shares are beneficially owned directly by Ms. Yu. |
| (4) | Mr. Wool is the sole member of Catatonk Creek, LLC and Tioga 22, LLC. |
| (5) | Mr. Wool controls this UTMA account until Ms. Cottone is 18 years old. |
| (6) | Ms. Yu is the sole member of Dongam, LLC. |