Initial Statement of Beneficial Ownership (3)
December 30 2021 - 6:32AM
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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Tacker Dustin |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/21/2021
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3. Issuer Name and Ticker or Trading Symbol
MINIM, INC. [MINM]
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(Last)
(First)
(Middle)
C/O MINIM, INC., 848 ELM STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Interim Chief Acctng. Officer / |
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(Street)
MANCHESTER, NH 03101
(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) |
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 |
| Stock Option (right to buy) | (1) | 10/23/2025 | Common Stock | 40000 | $2.70 | D | |
| Stock Option (right to buy) | (2) | 2/4/2026 | Common Stock | 10000 | $3.44 | D | |
| Restricted Stock Unit | (3) | (4) | Common Stock | 21186 | (4) | D | |
| Explanation of Responses: |
| (1) | Incentive Stock Option granted 10/23/2020 under the Company's 2019 Stock Option Plan. The Option vests over a four-year period, with 1/4 vesting upon the first-year anniversary and 1/48th pro-rata vesting each month subsequent to the first-year anniversary. |
| (2) | Incentive Stock Option granted 2/4/2021 under the Company's 20192 Stock Option Plan. The Option vests over a four-year period, with 1/4 vesting upon the first-year anniversary and 1/48th pro-rata vesting each month subsequent to the first-year anniversary. |
| (3) | Each restricted stock unit represents a contingent right to receive one share of Minim common stock. The Restricted Stock Unit vests over a four-year period, with 1/4 vesting upon the first-year anniversary and 1/16th pro-rata vesting each quarter subsequent to the first-year anniversary. |
| (4) | NA |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Tacker Dustin
C/O MINIM, INC.
848 ELM STREET
MANCHESTER, NH 03101 |
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| Interim Chief Acctng. Officer |
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Signatures
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| /s/ Dustin Tacker | | 12/30/2021 |
| **Signature of Reporting Person | Date |
Minim (PK) (USOTC:MINM)
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