0001415889-23-007157.txt : 20230502
0001415889-23-007157.hdr.sgml : 20230502
20230502211722
ACCESSION NUMBER: 0001415889-23-007157
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230430
FILED AS OF DATE: 20230502
DATE AS OF CHANGE: 20230502
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hand Ann
CENTRAL INDEX KEY: 0001769649
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38819
FILM NUMBER: 23881392
MAIL ADDRESS:
STREET 1: 2906 COLORADO AVE.
CITY: SANTA MONICA
STATE: CA
ZIP: 90404
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Super League Gaming, Inc.
CENTRAL INDEX KEY: 0001621672
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-AMUSEMENT & RECREATION SERVICES [7900]
IRS NUMBER: 471990734
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2912 COLORADO AVE, STE 203
CITY: SANTA MONICA
STATE: CA
ZIP: 90404
BUSINESS PHONE: 802-294-2754
MAIL ADDRESS:
STREET 1: 2912 COLORADO AVE, STE 203
CITY: SANTA MONICA
STATE: CA
ZIP: 90404
FORMER COMPANY:
FORMER CONFORMED NAME: Nth Games, Inc.
DATE OF NAME CHANGE: 20141007
4
1
form4-05032023_010515.xml
X0407
4
2023-04-30
0001621672
Super League Gaming, Inc.
SLGG
0001769649
Hand Ann
C/O SUPER LEAGUE GAMING, INC.
2912 COLORADO AVE, SUITE 203
SANTA MONICA
CA
90404
true
true
false
false
CHIEF EXECUTIVE OFFICER
0
Warrants
9
2023-04-30
4
D
0
166667
0
D
2015-06-05
2025-06-05
Common Stock
166667
0
D
Stock Option
9
2023-04-30
4
D
0
51334
D
2017-06-16
2027-06-16
Common Stock
51334
0
D
Warrants
10.80
2023-04-30
4
D
0
100000
D
2017-06-16
2027-06-16
Common Stock
100000
0
D
Warrants
10.80
2023-04-30
4
D
0
250000
D
2018-11-01
2028-11-01
Common Stock
250000
0
D
Stock Option
9
2023-04-30
4
D
0
48667
D
2020-02-11
2030-02-11
Common Stock
48667
0
D
Stock Option
2.88
2023-04-30
4
D
0
200000
D
2020-08-05
2030-08-05
Common Stock
200000
0
D
Stock Option
4.81
2023-04-30
4
D
0
40000
D
2021-05-27
2031-05-27
Common Stock
40000
0
D
Stock Option
4.81
2023-04-30
4
D
0
93110
D
2021-05-27
2031-05-27
Common Stock
93110
0
D
Stock Option
0.49
2023-04-30
4
A
0
3000000
A
2033-04-30
Common Stock
3000000
3000000
D
Performance Stock Units
2023-04-30
4
D
0
900000
D
Common Stock
900000
0
D
Performance Stock Units
2023-04-30
4
A
0
900000
A
2028-04-30
Common Stock
900000
900000
D
On April 30, 2023, the Issuer cancelled certain stock options previously granted to the Reporting Person under the Issuer's 2014 Amended and Restated Employee Stock Option and Incentive Plan (the "2014 Plan"). In exchange for the cancelled options, the Reporting Person was granted options to purchase 3,000,000 shares of the Issuer's common stock under the 2014 Plan.
One-third of the stock options vest on the grant date, with the remainder vesting monthly over the thirty-six month period thereafter, subject to continued service.
The exercise of the options under this award are contingent upon the Company receiving approval from its stockholders to increase the number of shares available under the 2014 Plan, and will be subject to cancellation in the event stockholder approval is not obtained.
Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting.
The PSUs were scheduled to vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.
On April 30, 2023, the Issuer cancelled certain PSUs previously granted to the Reporting Person under the 2014 Plan. In exchange for the cancelled PSU's, the Reporting Person was granted 900,000 PSUs under the 2014 Plan.
Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day VWAP of $0.80 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $1.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $1.20 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $1.40 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $1.60 per share.
/s/ Clayton Haynes, Attorney-in-Fact
2023-05-02