Key facts
- This page summarizes James H. Dennedy's Form 4 filing for urban-gro, Inc. (UGRO).
- 3 reported transactions and 2 derivative rows are listed below.
- Accepted by SEC: 09 Sep 2022, 21:30.
James H. Dennedy - 26 Aug 2022 Form 4 Insider Report for urban-gro, Inc. (UGRO)
- Reporting relationship
- Former Director, Pres. and COO
- Issuer ticker
- UGRO
- Reported as of
- 26 Aug 2022
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 09 Sep 2022, 21:30:11 UTC
- Prior SEC filing
- 17 May 2022
- Next SEC filing
- 03 Nov 2022
- Source filing
- View source filing
- Reporting owner signature
- /s/ Jim Dennedy
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
James H. Dennedy filed Form 4 for urban-gro, Inc. (UGRO) on 09 Sep 2022.
Change
- Previous filing in this sequence was filed on 17 May 2022.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
UGRO
transaction
Common Stock subject to Vesting/forfeiture
Disposed to Issuer
- Transaction value
- $0
- Shares
- -129,190
- Change %
- -77%
- Price
- $0.000000
- Shares after
- 37,837
- Date
- 26 Aug 2022
- Ownership
- Direct
- Footnotes
- F1
UGRO
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 160,155
- Date
- 26 Aug 2022
- Ownership
- Ownership of entity which holds the stock in the Issuer
- Footnotes
- F2
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
UGRO
transaction
Derivative
Common Stock Option
Award
- Transaction value
- $0
- Shares
- +16,667
- Change %
- Price
- $0.000000
- Shares after
- 16,667
- Date
- 22 Aug 2018
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 16,667
- Exercise price
- $7.20
- Footnotes
- F3
UGRO
transaction
Derivative
Common Stock Option
Award
- Transaction value
- $0
- Shares
- +3,333
- Change %
- +20%
- Price
- $0.000000
- Shares after
- 20,000
- Date
- 01 Apr 2019
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 3,333
- Exercise price
- $7.20
- Footnotes
- F4
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
James H. Dennedy is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 4 footnotes
Footnote F1
On August 26, 2022, the Issuer announced that the Reporting Person (also has reported as Dennedy, James H. in prior filings) is resigning from his positions as a Director and Executive Officer of the Issuer. The 129,190 Shares of Common Stock represent Shares previously reported by the Reporting Person that will not vest or be issued in the future. The Reporting Person directly owns 37,873 Shares of Common Stock following the forfeiture of non-vesting restricted stock grants.
Footnote F2
The Reporting Person is the sole equity holder of Hamilton-Madison Group, LLC and as such may be deemed to beneficially own the shares held by it. The reporting person was the managing member of HMG Partners I, LLC and such entity has subsequently been dissolved and its shares distributed to its members.
Footnote F3
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. The 16,667 shares are as adjusted for a reverse stock split which occurred on 12/31/2020.
Footnote F4
The stock option was issued in connection with the Reporting Person serving on Board Committees for the prior year and immediately vested upon issuance. The 3,333 shares are as adjusted for a reverse stock split which occurred on 12/31/2020.
SEC remarks
This "Exit" Form 4 is voluntarily filed to report that the Reporting Person is no longer serving as a member of the board of directors or as an Executive Officer of the Issuer, effective as of August 26, 2022, as the Reporting Person resigned from all positions with the Issuer for personal reasons (and not from any disagreement with the Issuer), and therefore is no longer subject to Section 16 reporting. The Reporting Person did not have any transactions in the Issuer's securities during the time that he was a Section 16 reporting person other than those previously disclosed in Form 4 or 4/A, filed on May 17, 2022, February 8, 2022 (as Dennedy, James H.), February 4, 2022, December 3, 2021, June 1, 2021 (as amended), May 21, 2021, and September 25, 2018 (as Dennedy, James H.). The ownership numbers reported on this Form 4 are all as adjusted for a reverse stock split which occurred on 12/31/2020 and the forfeiture of non-vested stock grants reported on this form and represent the current cumulative holdings of the Reporting Person.