Form 4/A for UONE URBAN ONE, INC.
Accepted 2022-09-30 00:00:00 ET · period of report 2022-09-27 · accession 0001221506-22-000003 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DA | 2022-09-30 | 2022-09-27 | UONE | LIGGINS ALFRED C | CEO, Dir, 10% | A - Grant | $0.00 | +336.6K | 12.45M | +3% | $0 |
| DA | 2022-09-30 | 2022-09-27 | UONE | LIGGINS ALFRED C | CEO, Dir, 10% | F - Tax | $4.23 | -128.4K | 12.32M | -1% | -$543.1K |
| DMA | 2022-09-30 | 2022-09-27 | UONE | LIGGINS ALFRED C | CEO, Dir, 10% | A - Grant | $0.00 | +794.5K | 2.05M | +63% | $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 | 128,391 | $4.23 | 12,324,854 | D | — | — | (F2) Amendment updates shares withheld for tax which were estimated for timely filing and understated shares withheld by 179 shares. (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) 3,526,448 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 footnote) (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 | Restricted Stock Units (Class A) | 2022-09-27 | A | A | 468,750 | $0.00 | 468,750 | D | $0.00 · 2025-01-05 to — | 468,750 Class A Common Stock | (F5) No expiration date. |
| 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 | 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 |