Filing Details

Accession Number:
0001461790-19-000005
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-01-23 18:13:39
Reporting Period:
2019-01-18
Accepted Time:
2019-01-23 18:13:39
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1708410 Simplicity Esports & Gaming Co WINR () A6
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1461790 K2 Principal Fund, L.p. 2 Bloor Street West
Suite 801
Toronto A6 M4W 3E2
No No Yes No
1462149 Shawn Kimel 2 Bloor Street West
Suite 801
Toronto A6 M4W 3E2
No No Yes No
1462150 Shawn Kimel Investments, Inc. 2 Bloor Street West
Suite 801
Toronto A6 M4W 3E2
No No Yes No
1462151 K2 & Associates Investment Management Inc. 2 Bloor Street West
Suite 801
Toronto A6 M4W 3E2
No No Yes No
1489956 K2 Genpar 2009 Inc 2 Bloor Street West
Suite 801
Toronto A6 M4W 3E2
No No Yes No
1489957 K2 Genpar Lp 2 Bloor Street West
Suite 801
Toronto A6 M4W 3E2
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2019-01-18 44,000 $6.00 180,443 No 4 J Direct
Common Stock Disposition 2019-01-18 44,000 $5.00 136,443 No 4 J Direct
Common Stock Disposition 2019-01-18 36,622 $4.00 99,821 No 4 J Direct
Common Stock Disposition 2019-01-23 6,000 $2.50 93,821 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 J Direct
No 4 J Direct
No 4 J Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Forward Sale Agreement (obligation to sell) Disposition 2019-01-18 124,622 $0.00 124,622 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2019-01-18 2019-01-18 No 4 J Direct
Footnotes
  1. Pursuant to a forward sale agreement between the Reporting Person and the issuer, as amended, the Reporting Person was obligated to sell 220,000 shares (the "Original Shares") to the issuer on behalf of The K2 Principal Fund L.P. on January 18, 2019 unless such Original Shares were sold by the Reporting Person prior to such date. The prices at which the Reporting Person was obligated to sell any remaining shares of the Original Shares to the issuer on January 18, 2019 are as follows: (i) first, $6.00 per remaining share up to 20% of the Original Shares; (ii) then, $5.00 per remaining share up to 20% of the Original Shares; (iii) then, $4.00 per remaining share up to 20% of the Original Shares; (iv) then, $3.00 per remaining share up to 20% of the Original Shares; and (v) then, $2.00 per remaining share up to 20% of the Original Shares. On January 18, 2019, an aggregate of 124,622 shares were sold in the quantities and at the prices listed above.