0001062993-23-003805.txt : 20230216 0001062993-23-003805.hdr.sgml : 20230216 20230216163447 ACCESSION NUMBER: 0001062993-23-003805 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230214 FILED AS OF DATE: 20230216 DATE AS OF CHANGE: 20230216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rozek Alexander Buffett CENTRAL INDEX KEY: 0001689425 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39648 FILM NUMBER: 23638959 MAIL ADDRESS: STREET 1: 292 NEWBURY ST #333 CITY: BOSTON STATE: MA ZIP: 02115 FORMER NAME: FORMER CONFORMED NAME: Rozek Alexander Buffet DATE OF NAME CHANGE: 20161107 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sky Harbour Group Corp CENTRAL INDEX KEY: 0001823587 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500] IRS NUMBER: 852732947 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1601 DODGE STREET STREET 2: SUITE 3300 CITY: OMAHA STATE: NE ZIP: 68102 BUSINESS PHONE: (402) 225-6511 MAIL ADDRESS: STREET 1: 1601 DODGE STREET STREET 2: SUITE 3300 CITY: OMAHA STATE: NE ZIP: 68102 FORMER COMPANY: FORMER CONFORMED NAME: Yellowstone Acquisition Co DATE OF NAME CHANGE: 20200903 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2023-02-14 0001823587 Sky Harbour Group Corp SKYH 0001689425 Rozek Alexander Buffett C/O BOSTON OMAHA CORPORATION 1601 DODGE STREET, SUITE 3300 OMAHA NE 68102 1 0 1 0 Class A common stock 2023-02-14 4 A 0 14000 0 A 21000 D Class A common stock 10000000 I See Footnotes 3 and 4 Class A common stock 3193474 I See Footnote 5 Class A common stock 206250 I See Footnote 6 Represents restricted stock units ("RSUs") granted under the Sky Harbour Group Corporation 2022 Incentive Award Plan. Each RSU represents the contingent right to receive, in accordance with the terms of the applicable RSU agreement, one share of Class A common stock of the Issuer for each vested RSU. The RSUs will vest in four equal annual installments beginning on the first anniversary of the date of grant, provided the reporting person remains in service through the applicable vesting date. Reported amount includes 21,000 RSUs. Comprised of (i) 4,500,000 shares of Class A common stock purchased by BOC YAC Funding, LLC, a wholly-owned subsidiary of Boston Omaha Corporation upon the closing of the business combination between Yellowstone Acquisition Company and Sky Harbour LLC (the "Business Combination") and (ii) 5,500,000 shares of Class A common stock issued in connection with the automatic conversion of Series B Preferred Units of Sky Harbour LLC purchased by BOC YAC Funding, LLC in August 2021 and which converted to 5,500,000 shares of Class A common stock upon the closing of the Business Combination. (Continued from Footnote 3) These shares are held by BOC YAC Funding, LLC, the wholly owned subsidiary of Boston Omaha Corporation and Alex B. Rozek is a director of Boston Omaha Corporation and a manager of BOC YAC Funding, LLC. As such, he may be deemed to have or share beneficial ownership of the Class A common stock held directly by BOC YAC Funding LLC. Mr. Rozek disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary indirect interest he may have therein as a stockholder of Boston Omaha Corporation. 3,193,474 shares of Class A common stock were issued in connection with the automatic conversion of an equal number of shares of Class B common stock which converted to Class A common stock upon the closing of the Business Combination. These shares are held directly by BOC Yellowstone LLC and Alex B. Rozek is a manager of BOC Yellowstone LLC, which is owned by Boston Omaha Corporation. As such, he may be deemed to have or share beneficial ownership of the Class A common stock held directly by BOC Yellowstone LLC. Mr. Rozek disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary indirect interest he may have therein as a stockholder of Boston Omaha Corporation. This includes an aggregate of 75,000 shares of Class A common stock set aside for the three former directors of Yellowstone Acquisition Company, which shares are in the process of being transferred over to these former directors. 206,250 shares of Class A common stock and their applicable underlying derivative securities are held directly by BOC Yellowstone II LLC. BOC Yellowstone LLC is the sole managing member of BOC Yellowstone II LLC, and Alex B. Rozek is a manager of BOC Yellowstone LLC, which is owned by Boston Omaha Corporation. As such, he may be deemed to have or share beneficial ownership of the Class A common stock held directly by BOC Yellowstone II LLC. Mr. Rozek disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary indirect interest he may have therein as a stockholder of Boston Omaha Corporation. This includes an aggregate of 206,250 shares of Class A common stock which are in the process of being distributed to Meteora Special Opportunity Fund I, L.P., an original investor in BOC Yellowstone II LLC. /s/ Alex Rozek 2023-02-16