Filing Details
- Accession Number:
- 0001493152-21-002300
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-02-01 18:48:17
- Reporting Period:
- 2018-12-31
- Accepted Time:
- 2021-02-01 18:48:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1708410 | Simplicity Esports & Gaming Co | WINR | Retail-Eating & Drinking Places (5810) | 821231127 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1771114 | Philip Jed Kaplan | C/O Simplicity Esports &Amp; Gaming Company 7000 W. Palmetto Park Rd., Suite 505 Boca Raton FL 33433 | Ceo And Interim Cfo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-12-31 | 5,121 | $0.00 | 5,121 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2018-12-31 | 6,025 | $0.00 | 11,146 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2019-01-08 | 9,424 | $0.00 | 20,570 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2019-01-08 | 11,088 | $0.00 | 31,658 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2019-01-08 | 8,750 | $0.00 | 40,408 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2019-03-27 | 26,927 | $0.00 | 67,335 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2019-03-27 | 31,679 | $0.00 | 99,014 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2019-03-27 | 25,000 | $0.00 | 124,014 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2019-03-27 | 2,500 | $0.00 | 126,514 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2019-05-31 | 6,250 | $16.00 | 132,764 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-09-17 | 8,750 | $0.00 | 141,514 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2020-07-29 | 8,750 | $0.00 | 150,264 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2020-07-30 | 31,250 | $0.00 | 181,514 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2020-08-21 | 3,750 | $0.00 | 185,264 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2020-08-31 | 1,875 | $0.00 | 187,139 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2020-09-30 | 1,875 | $0.00 | 189,014 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2020-10-30 | 1,875 | $0.00 | 190,889 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2020-11-18 | 25,000 | $0.00 | 165,889 | No | 4 | G | Direct | |
| Common Stock | Acquisiton | 2020-11-30 | 1,875 | $0.00 | 167,764 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2020-12-23 | 5,000 | $0.00 | 162,764 | No | 4 | G | Direct | |
| Common Stock | Acquisiton | 2020-12-31 | 1,875 | $0.00 | 164,639 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2021-01-04 | 50,000 | $0.00 | 214,639 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2020-11-18 | 25,000 | $0.00 | 25,000 | No | 4 | A | Indirect | See footnote |
| Common Stock | Acquisiton | 2020-11-24 | 10,000 | $0.00 | 35,000 | No | 4 | A | Indirect | See footnote |
| Common Stock | Acquisiton | 2020-12-23 | 5,000 | $0.00 | 40,000 | No | 4 | A | Indirect | See footnote |
| Common Stock | Acquisiton | 2020-12-29 | 3,000 | $0.00 | 43,000 | No | 4 | A | Indirect | See footnote |
| Common Stock | Acquisiton | 2018-12-31 | 302 | $0.00 | 302 | No | 4 | A | Indirect | By Spouse |
| Common Stock | Acquisiton | 2019-01-08 | 555 | $0.00 | 857 | No | 4 | A | Indirect | By Spouse |
| Common Stock | Acquisiton | 2019-03-27 | 1,584 | $0.00 | 2,441 | No | 4 | A | Indirect | By Spouse |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
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| No | 4 | G | Direct | |
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| No | 4 | A | Indirect | See footnote |
| No | 4 | A | Indirect | See footnote |
| No | 4 | A | Indirect | See footnote |
| No | 4 | A | Indirect | See footnote |
| No | 4 | A | Indirect | By Spouse |
| No | 4 | A | Indirect | By Spouse |
| No | 4 | A | Indirect | By Spouse |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant | Acquisiton | 2019-05-31 | 6,250 | $16.00 | 6,250 | $0.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,250 | 2019-05-31 | 2024-05-31 | No | 4 | P | Direct |
Footnotes
- The share information in this Form 4 has been adjusted to give effect to the 1-for-8 reverse stock split of the issuer's common stock, which was effective on November 20, 2020.
- Represents a grant by the issuer to the reporting person. The grant was approved by the issuer's Board of Directors.
- Held jointly with spouse.
- Pursuant to a private placement, the reporting person purchased 6,250 "units" of the issuer's securities at a purchase price of $16.00 per unit. Each unit consisted of (i) one share of the issuer's common stock, and (ii) a warrant to purchase one share of the issuer's common stock, exercisable at a price of $0.50 per share, exercisable at any time within five years of issuance.
- Bona fide gift to Kaplan Charitable Foundation, of which the reporting person serves as trustee.
- Held by Kaplan Charitable Foundation, of which the reporting person serves as trustee.
Billionaire Hedge Funds
