SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 01/04/2021 | 3. Issuer Name and Ticker or Trading Symbol HARVEST HEALTH & RECREATION INC. [ HRVSF ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 01/04/2021 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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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 Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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 Options | (1) | 01/09/2030 | Subordinate Voting Shares | 50,000 | 4.07(2) | D | |
Stock Options | (3) | 07/14/2030 | Subordinate Voting Shares | 50,000 | 1.48(2) | D | |
Stock Options | (4) | 12/31/2030 | Subordinate Voting Shares | 50,000 | 2.75(2) | D |
Explanation of Responses: |
1. The stock options were granted on January 9, 2020 and vest in four equal annual installments beginning on January 9, 2021. |
2. Exercise price is denominated and reported in Canadian dollars. |
3. The stock options were granted on July 14, 2021 and vest in four equal annual installments beginning on July 14, 2021. |
4. This Form 3 Amendment is being filed solely to correct this footnote 4 in the original Form 3 filed on January 4, 2021. The prior foonote 4 incorrectly described the vesting schedule of the reporting person's stock options herein. The reporting person's stock options were granted on December 31, 2020 and vest in four equal annual installments beginning on December 31, 2021. |
/s/ Allison McBride, Attorney-in-fact | 01/11/2021 | |
** 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 Number. |