SEC Form 4
| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol YogaWorks, Inc. [ YOGA ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 08/16/2017 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| COMMON STOCK | 08/16/2017 | F | 56,173(1) | D | $4.41 | 142,943 | D | |||
| COMMON STOCK | 09/24/2017 | F | 1,812(2) | D | $3.53 | 141,131 | D | |||
| COMMON STOCK | 10/24/2017 | F | 1,812(3) | D | $2.65 | 139,319 | D | |||
| COMMON STOCK | 11/24/2017 | F | 1,812(4) | D | $2.5 | 137,507 | D | |||
| COMMON STOCK | 12/24/2017 | F | 1,812(5) | D | $2.86 | 135,695 | D | |||
| COMMON STOCK | 01/24/2018 | F | 2,116(6) | D | $2.9 | 133,579 | D | |||
| COMMON STOCK | 02/24/2018 | F | 2,116(7) | D | $2.8 | 131,463 | D | |||
| COMMON STOCK | 03/24/2018 | F | 2,116(8) | D | $2.87 | 129,347 | D | |||
| COMMON STOCK | 04/24/2018 | F | 2,120(9) | D | $2.36 | 277,227 | D | |||
| COMMON STOCK | 05/24/2018 | F | 1,670(10) | D | $2.13 | 275,557 | D | |||
| COMMON STOCK | 06/24/2018 | F | 1,420(11) | D | $1.91 | 274,137 | D | |||
| COMMON STOCK | 07/24/2018 | F | 1,454(12) | D | $2.02 | 272,683 | D | |||
| COMMON STOCK | 08/24/2018 | F | 1,412(13) | D | $1.15 | 271,271 | D | |||
| COMMON STOCK | 09/24/2018 | F | 1,412(14) | D | $1.06 | 269,859 | D | |||
| COMMON STOCK | 10/24/2018 | F | 1,412(15) | D | $1.02 | 268,447 | D | |||
| COMMON STOCK | 11/24/2018 | F | 1,412(16) | D | $0.73 | 267,035 | D | |||
| COMMON STOCK | 12/24/2018 | F | 1,412(17) | D | $0.46 | 265,623 | D | |||
| COMMON STOCK | 01/24/2019 | F | 1,629(18) | D | $0.54 | 263,994 | D | |||
| COMMON STOCK | 02/28/2019 | F | 14,973(19) | D | $0.57 | 249,021 | D | |||
| COMMON STOCK | 03/01/2019 | A | 42,500(20) | A | $0.00 | 291,521 | D | |||
| COMMON STOCK | 03/01/2019 | F | 16,971(20) | D | $0.61 | 274,550 | D | |||
| COMMON STOCK | 03/28/2019 | F | 1,248(21) | A | $0.86 | 273,302 | D | |||
| COMMON STOCK | 04/28/2019 | F | 1,051(22) | D | $0.95 | 272,251 | D | |||
| COMMON STOCK | 05/28/2019 | F | 1,051(23) | D | $0.67 | 271,200 | D | |||
| COMMON STOCK | 06/28/2019 | F | 1,051(24) | D | $0.6 | 270,149 | D | |||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
| Explanation of Responses: |
| 1. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 126,658 restricted stock units granted to the reporting person on August 16, 2017. |
| 2. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on September 24, 2017. |
| 3. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on October 24, 2017. |
| 4. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on November 24, 2017. |
| 5. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,085 restricted stock units granted to the reporting person on December 24, 2017. |
| 6. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on January 24, 2018. |
| 7. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on February 24, 2018. |
| 8. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on March 24, 2018. |
| 9. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on April 24, 2018. |
| 10. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,085 restricted stock units granted to the reporting person on May 24, 2018. |
| 11. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,085 restricted stock units granted to the reporting person on June 24, 2018. |
| 12. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on July 24, 2018. |
| 13. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on August 24, 2018. |
| 14. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,085 restricted stock units granted to the reporting person on September 24, 2018. |
| 15. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on October 24, 2018. |
| 16. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on November 24, 2018. |
| 17. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on December 24, 2018. |
| 18. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,086 restricted stock units granted to the reporting person on January 24, 2019. |
| 19. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 37,500 restricted stock units granted to the reporting person on February 28, 2019. |
| 20. Represents 42,500 restricted stock units awarded to the Reporting Person on March 1, 2019 (the "Award Date"), which vested in full on March 1, 2019. |
| 21. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 3,125 restricted stock units granted to the reporting person on March 28, 2019. |
| 22. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 3,125 restricted stock units granted to the reporting person on April 28, 2019. |
| 23. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 3,125 restricted stock units granted to the reporting person on May 28, 2019. |
| 24. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 3,125 restricted stock units granted to the reporting person on June 28, 2019. |
| Remarks: |
| /s/ Vance Chang, Attorney-in-Fact for Rosanna Covella McCollough | 07/12/2019 | |
| ** 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 Number. | ||