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