Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
(Amendment No. 1)
Under the Securities Exchange Act of 1934
FAT BRANDS INC.
(Name of Issuer)
Common Stock, $0.0001 par value
(Title of Class of Securities)
30258N105
(CUSIP Number)
Gregory Fortunoff 49 West 37th Street, New York, NY 10018 |
Scott Fortunoff 49 West 37th Street, New York, NY 10018 |
Laurie Fortunoff 49 West 37th Street, New York, NY 10018 |
Jill Gerstenblatt 49 West 37th Street, New York, NY 10018 |
Darren Gerstenblatt 49 West 37th Street, New York, NY 10018 |
Copy to: Steven E. Cohen, Esq. Kane Kessler, P.C. 666 Third Avenue, 23rd Floor New York, New York 10017 (212) 541-6222 |
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
August 13, 2020
(Date of Event which requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ¨
1 |
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Gregory Fortunoff |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) x (b) ¨ |
3 |
SEC USE ONLY
|
4 |
SOURCE OF FUNDS*
PF |
5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨
|
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 |
SOLE VOTING POWER
369,701 (See Item 5) |
8 |
SHARED VOTING POWER
(See Item 5) | |
9 |
SOLE DISPOSITIVE POWER
369,701 (See Item 5) | |
10 |
SHARED DISPOSITIVE POWER
(See Item 5) |
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
369,701 (See Item 5) |
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.1% |
14
|
TYPE OF REPORTING PERSON*
IN |
1 |
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Scott Fortunoff |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) x (b) ¨ |
3 |
SEC USE ONLY
|
4 |
SOURCE OF FUNDS*
PF |
5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨
|
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 |
SOLE VOTING POWER
150,000 (See Item 5) |
8 |
SHARED VOTING POWER
20,000 (See Item 5) | |
9 |
SOLE DISPOSITIVE POWER
150,000 (See Item 5) | |
10 |
SHARED DISPOSITIVE POWER
20,000 (See Item 5) |
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
170,000 (See Item 5) |
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4% |
14
|
TYPE OF REPORTING PERSON*
IN |
1 |
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Laurie Fortunoff |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) x (b) ¨ |
3 |
SEC USE ONLY
|
4 |
SOURCE OF FUNDS*
PF |
5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨
|
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 |
SOLE VOTING POWER
0 (See Item 5) |
8 |
SHARED VOTING POWER
20,000 (See Item 5) | |
9 |
SOLE DISPOSITIVE POWER
0 (See Item 5) | |
10 |
SHARED DISPOSITIVE POWER
20,000 (See Item 5) |
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
20,000 (See Item 5) |
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.0 % |
14
|
TYPE OF REPORTING PERSON*
IN |
1 |
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Jill Gerstenblatt |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) x (b) ¨ |
3 |
SEC USE ONLY
|
4 |
SOURCE OF FUNDS*
PF |
5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨
|
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 |
SOLE VOTING POWER
37,148 (See Item 5) |
8 |
SHARED VOTING POWER
0 (See Item 5) | |
9 |
SOLE DISPOSITIVE POWER
37,148 (See Item 5) | |
10 |
SHARED DISPOSITIVE POWER
0 (See Item 5) |
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
37,148 (See Item 5) |
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.3% |
14
|
TYPE OF REPORTING PERSON*
IN |
1 |
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Darren Gerstenblatt |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) x (b) ¨ |
3 |
SEC USE ONLY
|
4 |
SOURCE OF FUNDS*
PF |
5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨
|
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 |
SOLE VOTING POWER
44,966 (See Item 5) |
8 |
SHARED VOTING POWER
0 (See Item 5) | |
9 |
SOLE DISPOSITIVE POWER
44,966 (See Item 5) | |
10 |
SHARED DISPOSITIVE POWER
0 (See Item 5) |
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
44,966 (See Item 5) |
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.4% |
14
|
TYPE OF REPORTING PERSON*
IN |
Item 1. Security and Issuer.
This Amendment No. 1 amends the Statement of Beneficial Ownership on Schedule 13D originally filed with the Securities and Exchange Commission (the “Commission”) on November 12, 2019 (collectively the “Schedule 13D”) by the Reporting Persons (as defined in the Schedule 13D) with respect to the shares of common stock, $0.0001 par value per share (the “Common Stock”) of Fat Brands Inc., a Delaware corporation (the “Issuer”), whose principal executive offices are located at 9720 Wilshire Blvd., Suite 500, Beverly Hills, CA 90212.
Item 3. Source and Amount of Funds or Other Consideration.
Item 3 of the Schedule 13D is hereby amended and restated as follows:
All such funds identified below were provided from the working capital or personal funds of the applicable Reporting Person who directly beneficially owns such securities.
(i) Gregory Fortunoff.
The securities reported in this Statement as directly beneficially owned by Gregory Fortunoff were acquired with funds of approximately $1,663,650 (including brokerage commissions).
(ii) Scott Fortunoff.
The securities reported in this Statement as directly beneficially owned by Scott Fortunoff were acquired with funds of approximately $765,000 (including brokerage commissions).
(iii) Laurie Fortunoff.
The securities reported in this Statement as directly beneficially owned by Laurie Fortunoff were acquired with funds of approximately $120,000 (including brokerage commissions).
(iv) Jill Gerstenblatt.
The securities reported in this Statement as directly beneficially owned by Jill Gerstenblatt were acquired with funds of approximately $177,900 (including brokerage commissions).
(v) Darren Gerstenblatt.
The securities reported in this Statement as directly beneficially owned by Darren Gerstenblatt were acquired with funds of approximately $265,000 (including brokerage commissions).
Item 4. Purpose of Transaction.
Item 4 of the Schedule 13D is hereby amended by the addition of the following:
This Schedule 13D is filed by the Reporting Persons to report transactions regarding shares of the Common Stock which changes the Reporting Persons’ beneficial ownership (as such term is defined under Rule 13d-3 under the Exchange Act of 1934, as amended) of the Common Stock from the amounts previously reported on the Schedule 13D previously filed by the Reporting Persons with the Commission on November 12, 2019.
Other than as set forth in this Item 4, the Reporting Persons do not have any current plans, proposals or negotiations that relate to or would result in any of the matters referred to in paragraphs (a) through (j) of Item 4. The Reporting Persons intend to review their investment in the Issuer on a continuing basis, and to the extent permitted by law, may seek to engage in discussions with other stockholders and/or with management and the Board of the Issuer concerning the business, operations or future plans of the Issuer. Depending on various factors including, without limitation, the Issuer’s financial position, the price levels of the shares of Common Stock, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may, in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the Board, engaging in discussions with shareholders of the Issuer and others about the Issuer and the Reporting Persons’ investment, making proposals to the Issuer concerning changes to the capitalization, ownership structure, board structure (including board composition) or operations of the Issuer, purchasing additional securities of the Issuer, selling some or all of such securities, entering into financial instruments or other agreements that increase or decrease the Reporting Persons’ economic or beneficial exposure with respect to their investment in the Issuer, engaging in short selling of or any hedging or similar transaction with respect to the securities of the Issuer, including swaps and other derivative instruments, forming a group with other persons for purposes of Section 13(d)(3) under the Exchange Act, and Rule 13d-5(b)(1) promulgated thereunder or changing their intention with respect to any and all matters referred to in paragraphs (a) through (j) of Item 4.
Item 5. Interest in Securities of the Issuer.
Item 5 of the Schedule 13D is hereby amended and restated as follows:
Beneficial ownership of the shares of Common Stock shown on the cover pages of and set forth elsewhere in this Statement for each of the Reporting Persons assumes that they have not formed a group for purposes of Section 13(d)(3) under the Exchange Act, and Rule 13d-5(b)(1) promulgated thereunder. If the members of the Reporting Persons were deemed to have formed a group for purposes of Section 13(d)(3) of the Exchange Act and Rule 13d-5(b)(1), as of August 28, 2020, the group would be deemed to own beneficially (as that term is defined under Rule 13d-3 of the Exchange Act) and may be deemed to have shared voting and dispositive power over an aggregate of 621,815 shares of Common Stock, representing 5.1% of the outstanding shares of Common Stock (the percentage of shares owned being based upon 11,849,907 shares of Common Stock outstanding as of August 3, 2020, as set forth in the Issuer’s Quarterly Report on Form 10-Q for the period ended June 28, 2020, filed with the Securities and Exchange Commission on August 7, 2020).
The filing of this Statement and any future amendment by any of the Reporting Persons, and the inclusion of information herein and therein with respect to any of the Reporting Persons shall not be considered an admission that any of such persons, for the purpose of Section 16(b) of the Exchange Act, are the beneficial owners of any shares in which such persons do not have a pecuniary interest. Each of the Reporting Persons expressly disclaims beneficial ownership for all purposes of the shares of Common Stock beneficially owned by each of the other Reporting Persons.
(i) Gregory Fortunoff.
(a) - (c) As of August 28, 2020, Gregory Fortunoff beneficially owned in the aggregate 369,701 (which includes (i) 7,150 shares of Common Stock that Gregory Fortunoff may be deemed to beneficially own as UTMA custodian for his children; and (ii) 112,500 shares of Common Stock that Gregory Fortunoff may be deemed to beneficially own as trustee for his wife, but excludes 100,000 shares of Common Stock that may be acquired by Gregory Fortunoff upon exercise of immediately exercisable warrants at an exercise price of $5.00 per share) constituting approximately 3.1% of the outstanding shares of Common Stock (the percentage of shares owned being based upon 11,849,907 shares of Common Stock outstanding as of August 3, 2020, as set forth in the Issuer’s Quarterly Report on Form 10-Q for the period ended June 28, 2020, filed with the Securities and Exchange Commission on August 7, 2020).
Gregory Fortunoff engaged in the following transactions during the last 60 days as follows:
Date | Number of Shares | Purchase/Sale | Price ($) | |||
08/24/2020 | 500 | Purchase | 4.39 | |||
08/24/2020 | 500 | Purchase | 4.41 | |||
08/24/2020 | 500 | Purchase | 4.43 | |||
08/24/2020 | 500 | Purchase | 4.45 | |||
08/24/2020 | 500 | Purchase | 4.50 | |||
08/24/2020 | 486 | Purchase | 4.50 | |||
08/24/2020 | 414 | Purchase | 4.40 | |||
08/24/2020 | 300 | Purchase | 4.40 | |||
08/24/2020 | 200 | Purchase | 4.39 | |||
08/24/2020 | 75 | Purchase | 4.45 | |||
08/24/2020 | 25 | Purchase | 4.40 | |||
08/13/2020 | 55 | Sale | 12.04 | |||
08/13/2020 | 110 | Sale | 12.01 | |||
08/13/2020 | 124 | Sale | 12.06 | |||
08/13/2020 | 200 | Sale | 11.65 | |||
08/13/2020 | 300 | Sale | 12.02 | |||
08/13/2020 | 400 | Sale | 12.03 | |||
08/13/2020 | 500 | Sale | 11.64 | |||
08/13/2020 | 500 | Sale | 11.67 | |||
08/13/2020 | 505 | Sale | 12.05 | |||
08/13/2020 | 600 | Sale | 11.63 | |||
08/13/2020 | 800 | Sale | 11.00 | |||
08/13/2020 | 800 | Sale | 11.62 | |||
08/13/2020 | 976 | Sale | 12.07 |
Date | Number of Shares | Purchase/Sale | Price ($) | |||
08/13/2020 | 1,530 | Sale | 12.00 | |||
08/13/2020 | 2,500 | Sale | 10.00 | |||
08/13/2020 | 3,000 | Sale | 11.00 | |||
08/13/2020 | 3,000 | Sale | 11.50 | |||
08/13/2020 | 3,000 | Sale | 12.00 | |||
08/13/2020 | 3,024 | Sale | 11.50 | |||
08/13/2020 | 5,000 | Sale | 10.50 | |||
08/13/2020 | 6,976 | Sale | 12.00 | |||
08/12/2020 | 195 | Purchase | 3.57 | |||
08/12/2020 | 100 | Purchase | 3.20 | |||
08/12/2020 | 100 | Purchase | 3.41 | |||
08/12/2020 | 100 | Purchase | 3.50 | |||
08/12/2020 | 85 | Purchase | 3.43 | |||
08/12/2020 | 15 | Purchase | 3.45 | |||
08/11/2020 | 100 | Purchase | 3.36 | |||
08/11/2020 | 100 | Purchase | 3.40 | |||
08/10/2020 | 168 | Purchase | 3.28 | |||
08/10/2020 | 100 | Purchase | 3.25 | |||
08/10/2020 | 100 | Purchase | 3.30 | |||
08/10/2020 | 100 | Purchase | 3.35 | |||
08/10/2020 | 75 | Purchase | 3.35 | |||
08/10/2020 | 25 | Purchase | 3.34 | |||
08/10/2020 | 5 | Purchase | 3.20 | |||
08/07/2020 | 200 | Purchase | 3.28 | |||
08/07/2020 | 200 | Purchase | 3.28 | |||
08/07/2020 | 200 | Purchase | 3.31 | |||
08/07/2020 | 175 | Purchase | 3.45 | |||
08/07/2020 | 100 | Purchase | 3.18 | |||
08/07/2020 | 100 | Purchase | 3.18 | |||
08/07/2020 | 100 | Purchase | 3.26 | |||
08/07/2020 | 100 | Purchase | 3.30 | |||
08/07/2020 | 86 | Purchase | 3.27 | |||
08/07/2020 | 55 | Purchase | 3.15 |
Date | Number of Shares | Purchase/Sale | Price ($) | |||
08/07/2020 | 50 | Purchase | 3.39 | |||
08/07/2020 | 50 | Purchase | 3.40 | |||
08/07/2020 | 25 | Purchase | 3.45 | |||
08/07/2020 | 14 | Purchase | 3.27 | |||
08/06/2020 | 100 | Purchase | 3.25 | |||
08/05/2020 | 100 | Purchase | 3.24 | |||
08/05/2020 | 63 | Purchase | 3.20 | |||
08/04/2020 | 100 | Purchase | 3.05 | |||
08/04/2020 | 100 | Purchase | 3.05 | |||
08/04/2020 | 14 | Purchase | 3.10 | |||
08/03/2020 | 200 | Purchase | 2.95 | |||
08/03/2020 | 200 | Purchase | 3.17 | |||
08/03/2020 | 114 | Purchase | 3.00 | |||
08/03/2020 | 111 | Purchase | 3.05 | |||
08/03/2020 | 100 | Purchase | 2.99 | |||
08/03/2020 | 100 | Purchase | 3.00 | |||
08/03/2020 | 89 | Purchase | 3.05 | |||
08/03/2020 | 85 | Purchase | 3.00 | |||
07/31/2020 | 100 | Purchase | 3.2 | |||
07/30/2020 | 100 | Purchase | 3.2 | |||
07/30/2020 | 100 | Purchase | 3.25 | |||
07/30/2020 | 100 | Purchase | 3.25 | |||
07/30/2020 | 100 | Purchase | 3.25 | |||
07/30/2020 | 98 | Purchase | 3.2 | |||
07/30/2020 | 2 | Purchase | 3.2 | |||
07/30/2020 | 1 | Purchase | 3.2 | |||
07/29/2020 | 100 | Purchase | 3.25 | |||
07/29/2020 | 100 | Purchase | 3.28 | |||
07/29/2020 | 100 | Purchase | 3.3 | |||
07/29/2020 | 100 | Purchase | 3.35 | |||
07/29/2020 | 75 | Purchase | 3.2 | |||
07/29/2020 | 64 | Purchase | 3.25 | |||
07/29/2020 | 57 | Purchase | 3.25 |
Date | Number of Shares | Purchase/Sale | Price ($) | |||
07/29/2020 | 4 | Purchase | 3.2 | |||
07/28/2020 | 200 | Purchase | 3.26 | |||
07/28/2020 | 142 | Purchase | 3.37 | |||
07/28/2020 | 100 | Purchase | 3.26 | |||
07/28/2020 | 100 | Purchase | 3.35 | |||
07/27/2020 | 100 | Purchase | 3.45 | |||
07/24/2020 | 100 | Purchase | 3.38 | |||
07/24/2020 | 6 | Purchase | 3.35 | |||
07/23/2020 | 100 | Purchase | 3.35 | |||
07/23/2020 | 1 | Purchase | 3.35 | |||
07/22/2020 | 100 | Purchase | 3.30 | |||
07/22/2020 | 100 | Purchase | 3.30 | |||
07/22/2020 | 100 | Purchase | 3.40 | |||
07/22/2020 | 98 | Purchase | 3.35 | |||
07/22/2020 | 2 | Purchase | 3.35 | |||
07/21/2020 | 100 | Purchase | 3.45 | |||
07/15/2020 | 100 | Purchase | 3.30 | |||
07/15/2020 | 100 | Purchase | 3.40 | |||
07/09/2020 | 100 | Purchase | 3.30 | |||
07/09/2020 | 100 | Purchase | 3.31 | |||
07/09/2020 | 100 | Purchase | 3.35 | |||
07/08/2020 | 100 | Purchase | 3.50 | |||
07/07/2020 | 100 | Purchase | 3.27 | |||
07/06/2020 | 100 | Purchase | 3.40 | |||
07/06/2020 | 98 | Purchase | 3.31 | |||
07/06/2020 | 10 | Purchase | 3.30 | |||
07/06/2020 | 2 | Purchase | 3.31 | |||
07/02/2020 | 100 | Purchase | 3.43 | |||
07/02/2020 | 98 | Purchase | 3.41 | |||
07/02/2020 | 7 | Purchase | 3.30 | |||
07/02/2020 | 2 | Purchase | 3.41 | |||
07/01/2020 | 100 | Purchase | 3.30 | |||
06/30/2020 | 100 | Purchase | 3.39 |
Date | Number of Shares | Purchase/Sale | Price ($) | |||
06/29/2020 | 100 | Purchase | 3.35 | |||
06/29/2020 | 19 | Purchase | 3.36 | |||
06/26/2020 | 100 | Purchase | 3.30 | |||
06/26/2020 | 100 | Purchase | 3.35 | |||
06/26/2020 | 100 | Purchase | 3.43 | |||
06/26/2020 | 100 | Purchase | 3.50 | |||
06/26/2020 | 94 | Purchase | 3.40 | |||
06/26/2020 | 64 | Purchase | 3.38 | |||
06/26/2020 | 36 | Purchase | 3.38 | |||
06/26/2020 | 14 | Purchase | 3.27 | |||
06/26/2020 | 6 | Purchase | 3.40 |
(d) and (e). Not Applicable.
(ii) Scott Fortunoff.
(a) - (c) As of August 28, 2020, Scott Fortunoff beneficially owned in the aggregate 170,000 shares of Common Stock (which includes 20,000 shares of Common Stock beneficially owned with his wife Laurie Fortunoff in a joint account), constituting approximately 1.4% of the outstanding shares of Common Stock (the percentage of shares owned being based upon 11,849,907 shares of Common Stock outstanding as of August 3, 2020, as set forth in the Issuer’s Quarterly Report on Form 10-Q for the period ended June 28, 2020, filed with the Securities and Exchange Commission on August 7, 2020).
Scott Fortunoff engaged in the following transactions during the last 60 days as follows:
Date | Number of Shares | Purchase/Sale | Price ($) | |||
08/25/2020 | 1,700 | Purchase | 4.38 | |||
08/24/2020 | 8,300 | Purchase | 4.28 | |||
08/18/2020 | 9,000 | Purchase | 5.39 | |||
08/17/2020 | 1,000 | Purchase | 5.48 | |||
08/14/2020 | 20,000 | Purchase | 6.31 | |||
08/13/2020 | 50,000 | Sale | 11.01 | |||
08/13/2020 | 25,000 | Sale | 11.00 |
(d) and (e). Not Applicable.
(iii) Laurie Fortunoff.
(a) - (c) As of August 28, 2020, Laurie Fortunoff, beneficially owned in the aggregate 20,000 shares of Common Stock with her husband Scott Fortunoff in a joint account, constituting approximately .4% of the outstanding shares of Common Stock
Laurie Fortunoff did not acquire or purchase shares of Common Stock during the last 60 days.
(d) and (e). Not Applicable.
(iv) Jill Gerstenblatt.
(a) - (c) As of August 28, 2020, Jill Gerstenblatt beneficially owned in the aggregate 37,148 shares of Common Stock, constituting approximately .3% of the outstanding shares of Common Stock (the percentage of shares owned being based upon 11,849,907 shares of Common Stock outstanding as of August 3, 2020, as set forth in the Issuer’s Quarterly Report on Form 10-Q for the period ended June 28, 2020, f iled with the Securities and Exchange Commission on August 7, 2020).
Jill Gerstenblatt did not acquire or purchase shares of Common Stock during the last 60 days.
(d) and (e). Not Applicable.
(v) Darren Gerstenblatt.
(a) - (c) As of August 28, 2020, Darren Gerstenblatt beneficially owned in the aggregate 44,966 shares of Common Stock, constituting approximately .4% of the outstanding shares of Common Stock (the percentage of shares owned being based upon 11,849,907 shares of Common Stock outstanding as of August 3, 2020, as set forth in the Issuer’s Quarterly Report on Form 10-Q for the period ended June 28, 2020, filed with the Securities and Exchange Commission on August 7, 2020).
Darren Gerstenblatt engaged in the following transactions during the last 60 days as follows:
Date | Number of Shares | Purchase/Sale | Price ($) | |||
08/17/2020 | 3,000 | Sale | 9.50 | |||
08/3/2020 | 2,000 | Purchase | 2.94 |
(d) and (e). Not Applicable.
SIGNATURE
After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this Statement is true, complete and correct.
Dated: August 28, 2020
/s/ Gregory Fortunoff | ||
Gregory Fortunoff | ||
/s/ Scott Fortunoff | ||
Scott Fortunoff | ||
/s/ Laurie Fortunoff | ||
Laurie Fortunoff | ||
/s/ Jill Gerstenblatt | ||
Jill Gerstenblatt | ||
/s/ Darren Gerstenblatt | ||
Darren Gerstenblatt |