0000899243-21-012389.txt : 20210317 0000899243-21-012389.hdr.sgml : 20210317 20210317214000 ACCESSION NUMBER: 0000899243-21-012389 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210315 FILED AS OF DATE: 20210317 DATE AS OF CHANGE: 20210317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chaouat-Fix Mihal CENTRAL INDEX KEY: 0001778022 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38937 FILM NUMBER: 21752818 MAIL ADDRESS: STREET 1: C/O MOHAWK GROUP HOLDINGS, INC. STREET 2: 37 EAST 18TH STREET, 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Mohawk Group Holdings, Inc. CENTRAL INDEX KEY: 0001757715 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC HOUSEWARES & FANS [3634] IRS NUMBER: 831739858 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 37 EAST 18TH STREET STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: (347)676-1681 MAIL ADDRESS: STREET 1: 37 EAST 18TH STREET STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-03-15 0 0001757715 Mohawk Group Holdings, Inc. MWK 0001778022 Chaouat-Fix Mihal C/O MOHAWK GROUP HOLDINGS, INC. 37 E 18TH STREET, 7TH FLOOR NEW YORK NY 10003 0 1 0 0 Chief Product Officer Common Stock 2021-03-15 4 M 0 4488 9.72 A 295685 D Employee Stock Option (right to buy) 9.72 2021-03-15 4 M 0 4488 0.00 D 2028-12-28 Common Stock 4488 135675 D The option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. 1/3rd of the number of shares subject to the option vested on October 11, 2019 and 1/36th of the number of shares subject to the option shall vest following each one month period thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date. All of the unvested shares subject to the option shall vest upon either: (i) the accumulation, by means of any transaction or series of related transactions, whether directly or indirectly, beneficially or of record, by any individual and/or entity of more than 50% the outstanding shares of common stock of the Issuer, whether by merger, consolidation, sale or other transfer of shares of the Issuer's common stock, so long as the holders of the Issuer's common stock, immediately after such transaction or series of transactions, hold less than 50% of the common stock of the Issuer or the voting securities of the surviving or acquiring entity or (ii) a sale of all or substantially all of the assets of the Issuer, which may include a license transaction. /s/Mihal Chaouat-Fix 2021-03-17