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) 02/18/2020 | 3. Issuer Name and Ticker or Trading Symbol Green Thumb Industries Inc. [ GTII/GTBIF ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 02/18/2020 | ||||||||||||||
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) |
Subordinate Voting Shares | 145,004 | D | |
Subordinate Voting Shares | 57,418 | I | By RCP23 LLC |
Subordinate Voting Shares | 8 | I | By GTI II LLC |
Subordinate Voting Shares | 71 | I | By daughter |
Subordinate Voting Shares | 71 | I | By daughter |
Subordinate Voting Shares | 46 | I | By Outsiders Capital LLC |
Multiple Voting Shares | 43,534 | I | By GTI II LLC |
Multiple Voting Shares | 96,885 | I | By RCP23 LLC |
Super Voting Shares | 11,808 | I | By GTI II LLC |
Super Voting Shares | 107,368 | I | By RCP23 LLC |
Super Voting Shares | 91,665 | D | |
Super Voting Shares | 59,474 | I | By Outsiders Capital LLC |
Super Voting Shares | 170 | I | By daughter |
Super Voting Shares | 170 | I | By daughter |
Subordinate Voting Shares | 133,302 | D |
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 | ||||
Employee Stock Options | 08/28/2019(1) | 08/30/2028 | Subordinate Voting Shares | 50,000(1) | 14.64(2) | D | |
Employee Stock Options | 07/26/2020(3) | 07/26/2024 | Subordinate Voting Shares | 300,000(3) | 12.07(2) | D | |
Employee Stock Options | 03/27/2021 | 03/27/2025 | Subordinate Voting Shares | 81,521 | 9.22 | D | |
Warrants(4) | 11/09/2019 | 11/09/2024 | Subordinate Voting Shares | 1,004 | 12.0384(2) | I | By KP Capital LLC |
Warrants(4) | 05/22/2019 | 05/22/2024 | Subordinate Voting Shares | 5,018 | 19.3902(2) | I | By KP Capital LLC |
Explanation of Responses: |
1. The stock option was granted on 8/30/2018 and vests in one third increments annually over a three-year period beginning on the first anniversary of the grant date. |
2. Exercise price is denominated and reported in Canadian dollars. |
3. The stock option was granted on 7/26/2019 and vests in one third increments annually over a three-year period beginning on the first anniversary of the grant date. |
4. This amendment to the Form 3 filed on February 18, 2020 is being filed to correct the inadvertent omission of warrants held indirectly by the reporting person due to an administrative error. |
/s/ Kathryn A. Lloyd, Attorney-in-Fact | 05/22/2020 | |
** 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. |