James H. Dennedy - Dec 1, 2021 Form 4/A - Amendment Insider Report for urban-gro, Inc. (UGRO)

Role
President and COO, Director
Signature
/s/ James H. Dennedy
Stock symbol
UGRO
Transactions as of
Dec 1, 2021
Transactions value $
$0
Form type
4/A - Amendment
Date filed
2/4/2022, 04:25 PM
Date Of Original Report
Jun 1, 2021
Previous filing
May 21, 2021
Next filing
May 17, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding UGRO Common Stock 237K Dec 1, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction UGRO Common Stock Option Award $0 +16.7K $0.00 16.7K Aug 22, 2018 Common Stock 16.7K $7.20 Direct F2
transaction UGRO Common Stock Option Award $0 +3.33K +20% $0.00 20K Apr 1, 2019 Common Stock 3.33K $7.20 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On December 3, 2021, the Reporting Person filed a Form 4 Amendment which inadvertently reported that the Reporting Person owns an aggregate of 259,758 shares of common stock following the transaction reported therein. In fact, the Reporting Person owns an aggregate of 237,415 shares of common stock and stock options to purchase 20,000 shares of common stock. The 237,415 total includes: a grant of 19,968 shares of restricted stock that vest proportionately over a three-year period beginning on December 31, 2021, vesting fully on December 31, 2023; a grant of 40,000 shares of restricted stock that vest as follows: 10,000 on December 31, 2021, 14,000 on December 31, 2022, and 16,000 on December 31, 2023; a grant of 5,556 shares of restricted stock that vested on April 30, 2020; a grant of 15,625 shares of restricted stock that vested on May 28, 2021; and 156,266 shares of common stock.
F2 The stock option was issued in Connection with the Reporting Person serving as Board Director and vested proportionately over a three-year period on each annual period beginning on August 22, 2019; the stock option fully vested on August 22, 2021.
F3 The stock option was issued with the Reporting Person serving on Board Committees for the prior year and immediately vested upon issuance.