| 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) 09/20/2018 | 3. Issuer Name and Ticker or Trading Symbol ARC Group Worldwide, Inc. [ ARCW ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. 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 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) |
| Common Stock | 5,635 | 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 | ||||
| Stock Options (Right to Buy) | (1) | 05/14/2025 | Common Stock | 8,626 | 2.35 | D | |
| Stock Options (Right to Buy) | (2) | 02/10/2027 | Common Stock | 17,600 | 4.4 | D | |
| Stock Options (Right to Buy) | (3) | 08/26/2023 | Common Stock | 4,774 | 2.5 | D | |
| Stock Options (Right to Buy) | (4) | 01/15/2023 | Common Stock | 19,000 | 1.51 | D | |
| Explanation of Responses: |
| 1. Options granted to the reporting person on May 14, 2018. Of such options, 2,157 vested and became exercisable on the grant date, and the balance vest 25% on each anniversary of the date of grant until the Stock Options have vested in full. The Options shall expire on May 14, 2025, the seventh anniversary of the date of grant. As of the date of this report, 2,157 options were vested and exercisable. |
| 2. Options granted to the reporting person on February 10, 2017. Of such options, 17,600 vest and become exercisable on December 31, 2018. The stock options will expire on February 10, 2027. |
| 3. Options granted to the reporting person on August 26, 2016. Of such options, 4,774 vested and became exercisable on August 26, 2016, the date of grant. The Stock Options will expire on August 26, 2023. |
| 4. Options granted to the reporting person on January 14, 2016. Of such options, 3,800 vested and became exercisable on the grant date, and the balance vest 20% each anniversary of the date of grant until the stock options have vested in full. The options shall expire on January 14, 2023, the seventh anniversary of the date of grant. As of the date of this report, 9,500 options were vested and exercisable. |
| /s/ Aaron Willman | 11/01/2018 | |
| ** 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. | ||
