Statement of Changes in Beneficial Ownership (4)
28 4월 2023 - 8:00AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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HENDRICKS JOHN S |
2. Issuer Name and Ticker or Trading Symbol
CuriosityStream Inc.
[
CURI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
8484 GEORGIA AVE., SUITE 700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/6/2023 |
(Street)
SILVER SPRING, MD 20910 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 4/6/2023 | | S(1) | | 15500 | D | $1.18 | 865757 | D | |
Common Stock | 4/6/2023 | | S(1) | | 15541 | D | $1.19 | 850216 | D | |
Common Stock | 4/10/2023 | | S(1) | | 12511 | D | $1.14 | 837705 | D | |
Common Stock | 4/11/2023 | | S(1) | | 18050 | D | $1.16 | 819655 | D | |
Common Stock | 4/12/2023 | | S(1) | | 10870 | D | $1.16 | 808785 | D | |
Common Stock | 4/13/2023 | | S(1) | | 35045 | D | $1.14 | 773740 | D | |
Common Stock | 4/14/2023 | | S(1) | | 18795 | D | $1.11 | 754945 | D | |
Common Stock | 4/17/2023 | | S(1) | | 51704 | D | $1.03 | 703241 | D | |
Common Stock | 4/18/2023 | | S(1) | | 28846 | D | $1.04 | 674395 | D | |
Common Stock | 4/19/2023 | | S(1) | | 17639 | D | $1.05 | 656756 | D | |
Common Stock | 4/20/2023 | | S(1) | | 8500 | D | $1.04 | 648256 | D | |
Common Stock | 4/21/2023 | | S(1) | | 2899 | D | $1.03 | 645357 | D | |
Common Stock | | | | | | | | 21356188 | I | By Hendricks Factual Media LLC (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 16, 2022. |
(2) | The reported securities are owned directly by Hendricks Factual Media LLC ("HFM"), and indirectly by John Hendricks, as a manager of HFM. John Hendricks disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HENDRICKS JOHN S 8484 GEORGIA AVE., SUITE 700 SILVER SPRING, MD 20910 | X | X |
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Signatures
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/s/ Tia Cudahy as attorney-in-fact for John Hendricks | | 4/27/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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