Initial Statement of Beneficial Ownership (3)
April 22 2022 - 5:58PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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Brubaker Craig |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/12/2022
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3. Issuer Name and Ticker or Trading Symbol
ALTA EQUIPMENT GROUP INC. [ALTG]
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(Last)
(First)
(Middle)
C/O ALTA EQUIPMENT GROUP INC., 13211 MERRIMAN ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Operating Officer / |
(Street)
LIVONIA, MI 48150
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock (1) | 45525 | D | |
Common Stock (2) | 32500 | D | |
Common Stock (3) | 2052 | D | |
Common Stock (4) | 3407 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Performance Stock Units (5) | (5) | (5) | Common Stock | 4302 | (5) | D | |
Performance Stock Units (6) | (6) | (6) | Common Stock | 6918 | (6) | D | |
Explanation of Responses: |
(1) | These represent vested shares of Common Stock granted to the reporting person that are held by the reporting person as of this filing. |
(2) | The reporting person was granted time-based restricted stock units ("RSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan on August 1, 2020. Each RSU represents the right to receive one share of Common Stock. The RSUs will vest annually over 2 years starting on February 14, 2023, subject to reporting person's continued employment with the Company. |
(3) | The reporting person was granted time-based restricted stock units ("RSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan on April 1, 2021. Each RSU represents the right to receive one share of Common Stock. The RSUs will vest annually over 2 years starting on February 14, 2023, subject to reporting person's continued employment with the Company. |
(4) | The reporting person was granted time-based restricted stock units ("RSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan on March 28, 2022. Each RSU represents the right to receive one share of Common Stock. The RSUs will vest annually over 3 years starting on February 14, 2023, subject to reporting person's continued employment with the Company. |
(5) | The reporting person was granted performance stock units ("PSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan on March 28, 2022. Each PSU represents the right to receive one share of Common Stock. The PSUs were subject to achievement of 2021 performance targets and will vest annually over 2 years starting on February 14, 2023, subject to reporting person's continued employment with the Company. |
(6) | The reporting person was granted performance stock units ("PSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan on March 28, 2022. Each PSU represents the right to receive one share of Common Stock. The PSUs is subject to achievement of 2022 performance targets and will vest annually over 2 years starting on February 14, 2024, subject to reporting person's continued employment with the Company. |
Remarks: See Exhibit 24.1 - Power of Attorney. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Brubaker Craig C/O ALTA EQUIPMENT GROUP INC. 13211 MERRIMAN ROAD LIVONIA, MI 48150 |
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| Chief Operating Officer |
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Signatures
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Jason Dammeyer, Attorney-in-Fact | | 4/22/2022 |
**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 5(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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