0001493152-22-003291.txt : 20220204 0001493152-22-003291.hdr.sgml : 20220204 20220204172524 ACCESSION NUMBER: 0001493152-22-003291 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211201 FILED AS OF DATE: 20220204 DATE AS OF CHANGE: 20220204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DENNEDY JIM CENTRAL INDEX KEY: 0001249723 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39933 FILM NUMBER: 22594665 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: urban-gro, Inc. CENTRAL INDEX KEY: 0001706524 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-MACHINERY, EQUIPMENT & SUPPLIES [5080] IRS NUMBER: 465158469 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1751 PANORAMA PT STREET 2: UNIT G CITY: LAFAYETTE STATE: CO ZIP: 80026 BUSINESS PHONE: 720-390-3880 MAIL ADDRESS: STREET 1: 1751 PANORAMA PT STREET 2: UNIT G CITY: LAFAYETTE STATE: CO ZIP: 80026 4/A 1 ownership.xml X0306 4/A 2021-12-01 2021-06-01 0 0001706524 urban-gro, Inc. UGRO 0001249723 DENNEDY JIM 1751 PAMORAMA POINT, SUITE G LAFAYETTE CO 80026 1 1 0 0 President and COO Common Stock 237415 D Common Stock Option 7.20 2018-08-22 4 A 0 16667 0 A 2028-08-22 Common Stock 16667 16667 D Common Stock Option 7.20 2019-04-01 4 A 0 3333 0 A 2029-04-01 Common Stock 3333 20000 D 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. 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 stock option was issued with the Reporting Person serving on Board Committees for the prior year and immediately vested upon issuance. /s/ James H. Dennedy 2022-02-04