Form 4 for UONE URBAN ONE, INC.
Accepted 2022-09-29 00:00:00 ET · period of report 2022-09-27 · accession 0001221506-22-000001 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-09-29 | 2022-09-27 | UONE | LIGGINS ALFRED C | CEO, Dir, 10% | A - Grant | $0.00 | +336.6K | 12.45M | +3% | $0 |
| D | 2022-09-29 | 2022-09-27 | UONE | LIGGINS ALFRED C | CEO, Dir, 10% | F - Tax | $4.23 | -128.2K | 12.33M | -1% | -$542.3K |
| DM | 2022-09-29 | 2022-09-27 | UONE | LIGGINS ALFRED C | CEO, Dir, 10% | A - Grant | $0.00 | +794.5K | 468.8K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class D Common Stock | 2022-09-27 | A | A | 336,602 | $0.00 | 12,453,245 | D | — | — | (F1) Award vested immediately upon pricing. |
| 2 | Common | Class D Common Stock | 2022-09-27 | F | D | 128,212 | $4.23 | 12,325,033 | D | — | — | (F3) Urban One, Inc. has four classes of stock, Classes A, B, C, and D. Across all classes the reporting persons owns Urban One, Inc. stock as follows: (1) 620,918 shares of Class A common stock (exclusive of the Class A RSUs reported herein); (2) 2,010,307 shares of Class B common stock held by the Alfred C. Liggins Revocable Trust; (3) 920,456 shares of Class C common stock held by the Dynastic Trust U/A/D; (4) 3,526,627 shares of Class D common stock held by Alfred C. Liggins; (5) 3,896,734 shares of Class D common stock held by the Alfred C. Liggins Revocable Trust; (continued in next foot note) (F4) (continued from previous footnote) (6) 3,012,237 shares of Class D common stock held by the Alfred C. Liggins Revocable Trust U/A/D; (7) 1,519,128 shares of Class D common stock held by the Alfred C. Liggins Revocable Trust UA; (8) 338,808 shares of Class D common stock held by the Dynastic Trust U/A/D; and (9) 31,499 shares of Class D common stock held by the Hughes-Liggins Co., LLC. The reporting person also holds the derivative securities reported in Table II. |
| 3 | Derivative | Stock Option (Class D) | 2022-09-27 | A | A | 169,503 | $0.00 | 2,049,149 | D | $4.23 · 2022-09-27 to 2032-09-26 | 169,503 Class D Common Stock | |
| 4 | Derivative | Stock Option (Class D) | 2022-09-27 | A | A | 156,250 | $0.00 | 2,205,399 | D | $4.23 · 2025-01-05 to 2032-09-26 | 156,250 Class D Common Stock | |
| 5 | Derivative | Restricted Stock Units (Class D) | 2022-09-27 | A | A | 468,750 | $0.00 | 468,750 | D | $0.00 · 2025-01-05 to — | 468,750 Class A Common Stock | (F2) No expiration date. |