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