Form 4/A for UONE URBAN ONE, INC.
Accepted 2023-10-23 00:00:00 ET · period of report 2023-02-06 · accession 0001221506-23-000003 · 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 | 2023-10-23 | 2023-02-06 | UONE | LIGGINS ALFRED C | CEO, Dir, 10% | F - Tax | $5.15 | -82.7K | 12.52M | -0.7% | -$425.9K |
| DA | 2023-10-23 | 2023-02-06 | UONE | LIGGINS ALFRED C | CEO, Dir, 10% | A - Grant | $0.00 | +276.5K | 12.60M | +2% | $0 |
| DA | 2023-10-23 | 2023-02-06 | UONE | LIGGINS ALFRED C | CEO, Dir, 10% | A - Grant | $5.15 | +168.8K | 2.37M | +8% | +$869.2K |
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 | 2023-02-06 | F | D | 82,702 | $5.15 | 12,518,625 | D | — | — | (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. (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 Class A RSUs noted in footnote 4 below); (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) 3,713,487 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) |
| 2 | Common | Class D Common Stock | 2023-02-06 | A | A | 276,472 | $0.00 | 12,601,327 | D | — | — | (F1) This Form 4A is being filed is to adjust ownership totals due to a rounding error in the calculation methodology in relation to a February 2023 grant vesting. The Amendment increases Class D Common Stock ownership by 10,240 shares and option ownership by 6,251 options to purchase Class D shares. (F2) Award vested immediately upon pricing. |
| 3 | Derivative | Stock Option (Class D) | 2023-02-06 | A | A | 168,786 | $5.15 | 2,374,185 | D | $5.15 · 2023-02-06 to 2033-02-06 | 168,786 Class D Common Stock | (F5) The reporting person also holds 468,750 Restricted Class A Stock Units in addition to the derivative securities reported in Table II. |