Statement of Changes in Beneficial Ownership (4)
April 27 2022 - 3:35PM
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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3235-0287
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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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Greenawalt Ryan |
2. Issuer Name and Ticker or Trading Symbol
ALTA EQUIPMENT GROUP INC.
[
ALTG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO, Chairman |
(Last)
(First)
(Middle)
C/O ALTA EQUIPMENT GROUP, 13211 MERRIMAN ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/1/2021 |
(Street)
LIVONIA, MI 48150
(City)
(State)
(Zip)
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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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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 (1) | 2/14/2022 | | M | | 10942 (1) | A | $0.00 | 5707942 | D | |
Common Stock | 3/28/2022 | | A | | 33423 (2) | A | $0.00 | 5741365 | D | |
Common Stock | 3/28/2022 | | A | | 45888 (3) | A | $0.00 | 5787253 | 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. 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 |
Restricted Stock Units (1) | (1) | 4/1/2021 | | A | | 32826 | | (1) | (1) | Common Stock | 32826 | (1) | 32826 | D | |
Restricted Stock Units (1) | (1) | 2/14/2022 | | M | | | 10942 | (1) | (1) | Common Stock | 10942 | (1) | 21884 | D | |
Explanation of Responses: |
(1) | The reporting person was granted time-based restricted stock units ("RSUs"), on April 1, 2021, under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan, which represent the right to receive one share of Common Stock for each RSU. The RSUs vest annually over 3 years starting on February 14, 2022, subject to reporting person's continued employment with the Company. The disclosure in Table II is an amendment to the Form 4 filed February 17, 2022. |
(2) | Represents shares of Commons Stock underlying RSUs granted to the reporting person. 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 for each RSU. The RSUs vest annually over 3 years starting on February 14, 2023, subject to reporting person's continued employment with the Company. |
(3) | Represents shares of Commons Stock underlying PSUs granted to the reporting person. The reporting person was granted performance stock units ("PSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan on March 28, 2022 following the 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Greenawalt Ryan C/O ALTA EQUIPMENT GROUP 13211 MERRIMAN ROAD LIVONIA, MI 48150 | X | X | CEO, Chairman |
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Signatures
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/s/ Ryan Greenawalt | | 4/27/2022 |
**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 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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