Delaware
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88-2789488
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(State or other jurisdiction of incorporation)
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(I.R.S Employer Identification No.)
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Large accelerated filer
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☐
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Accelerated filer
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☐
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Non-accelerated filer
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☐
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Smaller reporting company
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☒
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Emerging growth company
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☒
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Item 1.
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Plan Information.
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Item 2.
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Registrant Information and Employee Plan Annual Information.
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Item 3.
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Incorporation of Documents by Reference.
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(i)
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The Registrant’s Quarterly Report on Form 10-Q (File No. 001-40049) for the fiscal quarter ended March 31, 2022, filed with the Commission on May 16, 2022 and Quarterly Report on Form 10-Q (File No. 001-40049) for the fiscal quarter ended June 30, 2022, filed with the
Commission on August 15, 2022 and as amended by that Form 10-Q/A, filed with the Commission on August 17, 2022;
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(ii)
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The Registrant’s Current Reports on Form 8-K (File Nos. 001-40049), filed with the Commission on April 19, 2022, May 2, 2022, June 10,
2022, June 17, 2022 and June
21, 2022 (excluding any portions of such reports deemed to have been furnished under Item 2.02 or Item 7.01 and any exhibits included with such Items);
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(iii)
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The Registrant’s prospectus, dated August 12, 2022, filed with the Commission on August 12, 2022 (the “Prospectus”) pursuant to Rule 424(b) under the Securities Act, relating to the Registration Statement on Form S-1 (File No. 333-266138); and
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(iv)
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The description of the Registrant’s Common Stock contained in its Registration Statement on Form S-1 (File No. 333-266138),
filed with the Commission on July 15, 2022 (as amended on July 28, 2022), pursuant to Section 12(b) of the Exchange Act, including any amendments or reports filed for the purpose of updating, amending, or otherwise modifying such
description.
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Item 4.
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Description of Securities.
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Item 5.
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Interests of Named Experts and Counsel.
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Item 6.
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Indemnification of Directors and Officers.
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Item 7.
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Exemption from Registration Claimed.
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Item 8.
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Exhibits.
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Exhibit No.
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Description
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Form of Certificate of Incorporation of SpringBig Holdings, Inc. (incorporated by reference to Annex B to the Proxy Statement / Prospectus of Tuatara filed with the SEC on May 17, 2022).
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Form of By-Laws of SpringBig (incorporated by reference to Annex C to the Proxy Statement / Prospectus of Tuatara filed with the SEC on May 17, 2022).
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Opinion of Benesch, Friedlander, Coplan & Aronoff.
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Consent of Marcum LLP, Independent Registered Public Accounting Firm of SpringBig Holdings, Inc.
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Power of Attorney (included on signature page)
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SpringBig Holdings, Inc. 2022 Long-Term Incentive Plan (incorporated by reference to Exhibit to the Current Report on 8-K of the Company filed with the SEC on June 21, 2022).
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Form of Restricted Stock Unit Agreement
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Filing Fee Table
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*Filed herewith
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Item 9.
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Undertakings.
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(1)
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To file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement:
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(i)
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to include any prospectus required by Section 10(a)(3) of the Securities Act;
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(ii)
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to reflect in the prospectus any facts or events arising after the effective date of the Registration Statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate,
represent a fundamental change in the information set forth in the Registration Statement;
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(iii)
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to include any material information with respect to the plan of distribution not previously disclosed in the Registration Statement or any material change to such information in the Registration Statement;
provided, however, that paragraphs (A)(1)(i) and (A)(1)(ii) do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in periodic reports filed with or furnished to the Commission
by the Registrant pursuant to Section 13 or Section 15(d) of the Exchange Act that are incorporated by reference in the Registration Statement.
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(2)
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That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and
the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
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(3)
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To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.
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SPRINGBIG HOLDINGS, INC.
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By:
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/s/ Jeffrey Harris |
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Name: Jeffrey Harris
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Title: Chief Executive Officer
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Signature
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Title
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Date
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/s/ Jeffrey Harris |
Chief Executive Officer and Director
(Principal Executive Officer)
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August 22, 2022 | |
Jeffrey Harris
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/s/ Paul Sykes |
Chief Financial Officer
(Principal Financial Officer and Principal Accounting Officer)
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August 22, 2022
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Paul Sykes
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/s/ Steven Bernstein
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Director
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August 22, 2022
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Steven Bernstein
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/s/ Patricia Glassford |
Director
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August 22, 2022
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Patricia Glassford
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/s/ Amanda Lannert |
Director
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August 22, 2022
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Amanda Lannert
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/s/ Phil Schwarz |
Director
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August 22, 2022
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Phil Schwarz
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/s/ Sergey Sherman | Director |
August 22, 2022
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Sergey Sherman | |||
/s/ Jon Trauben | Director | August 22, 2022 |
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Jon Trauben |
71 South Wacker Drive, Suite 1600
Chicago, Illinois 60606-4637 |
Very truly yours,
/s/ Benesch, Friedlander, Coplan & Aronoff
BENESCH, FRIEDLANDER,
COPLAN & ARONOFF LLP
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Participant:
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Date of Grant:
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Vesting Commencement Date:
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Number of Restricted Stock Units:
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Vesting Schedule:
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The restricted stock units subject to the Agreement shall vest in three equal installments on each of the first three anniversaries of the date of the Agreement.
Notwithstanding the foregoing, vesting shall terminate upon the Participant’s termination of Continuous Service.
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Issuance Schedule:
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One share of Common Stock will be issued at the time set forth in Section 5 of the Agreement for each restricted stock unit which vests.
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•
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The RSU Award is governed by this RSU Award Grant Notice (the “Grant Notice”), and the provisions of the Plan and the
Agreement, all of which are made a part of this document. Unless otherwise provided in the Plan, this Grant Notice and the Agreement (together, the “RSU Award Agreement”) may not
be modified, amended or revised except in a writing signed by you and a duly authorized officer of the Company.
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•
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You have read and are familiar with the provisions of the Plan, the RSU Award Agreement and the document containing the Plan information specified in Section 10(a) of the Securities Act
(the “Prospectus”). In the event of any conflict between the provisions in the RSU Award Agreement, or the Prospectus and the terms of the Plan, the terms of the Plan shall
control.
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•
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The RSU Award Agreement sets forth the entire understanding between you and the Company regarding the acquisition of Common Stock and supersedes all prior oral and written agreements, promises and/or
representations on that subject with the exception of: (i) other equity awards previously granted to you, and (ii) any written employment agreement, offer letter, severance agreement, written severance plan or policy, or other written
agreement between the Company and you in each case that specifies the terms that should govern this RSU Award.
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SpringBig Holdings, Inc.:
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Participant:
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By:
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Signature
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Signature
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Title:
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Date:
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Date:
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Security
Type
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Security
Class
Title |
Fee
Calculation
Rule
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Amount Registered(1)
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Proposed Maximum
Offering
Price Per
Unit(3)
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Maximum Aggregate
Offering
Price(3)
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Fee Rate |
Amount of Registration
Fee(3) |
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Equity
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Common Stock, par value $0.0001 per share
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Rule 457(c) and Rule 457(h)
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1,525,175(2)
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$
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1.78
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$
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2,714,811.50
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$
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.0000927
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$
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251.66
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||||||||||
Total Offering Amounts
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$
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251.66
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||||||||||||||||||||
Total Fee Offsets
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$
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0
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||||||||||||||||||||
Net Fees Due
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$
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251.66
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