Statement of Changes in Beneficial Ownership (4)
2023年3月10日 - 8:38AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Kimble John Louis |
2. Issuer Name and Ticker or Trading Symbol
JAKKS PACIFIC INC
[
JAKK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
C/O JAKKS PACIFIC, INC., 2951 28TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/20/2022 |
(Street)
SANTA MONICA, CA 90405
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/20/2022 | | M | | 4412 (1) | A | $18.54 (3) | 91821 (2) | D | |
Common Stock | 11/20/2022 | | M | | 2206 (1) | A | $18.54 (3) | 94027 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit ("RSU") | (4) | 1/1/2023 | | M | | | 4412 | (1) | (1) | Common Stock | 4412 | $18.54 (3) | 0 (2)(6) | D | |
Restricted Stock Unit ("RSU") | (4) | 1/1/2023 | | M | | | 2206 | (1) | (1) | Common Stock | 2206 | $18.54 (3) | 2206 (2)(6) | D | |
Restricted Stock Unit ("RSU") | (4) | 1/1/2023 | | D | | | 2206 | (5) | (5) | Common Stock | 2206 | $18.54 (3) | 0 (2)(6) | D | |
Explanation of Responses: |
(1) | Vested according to the terms of the RSU described in a previous filing. |
(2) | Certain of the shares may be restricted from transfer pursuant to the minimum stock ownership provisions adopted by the Company's Board of Directors. |
(3) | Represents the closing price of the Company's common stock for the trading day preceding the date of vest, as reported by NASDAQ. |
(4) | Issued under the Company's 2002 Stock award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred or otherwise encumbered prior to vesting. |
(5) | Represents shares underlying RSUs which did not meet the vesting performance criteria and were forfeited. |
(6) | Does not include additional RSUs previously granted and reported with different vesting terms. |
Remarks: All numbers have been adjusted to reflect the 1-for-10 reverse stock split that was effective July 9, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kimble John Louis C/O JAKKS PACIFIC, INC. 2951 28TH STREET SANTA MONICA, CA 90405 |
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| Chief Financial Officer |
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Signatures
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/s/ JOHN L. KIMBLE | | 3/9/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
JAKKS Pacific (PK) (USOTC:JAKP)
過去 株価チャート
から 6 2024 まで 7 2024
JAKKS Pacific (PK) (USOTC:JAKP)
過去 株価チャート
から 7 2023 まで 7 2024
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