0001493152-21-000117.txt : 20210104 0001493152-21-000117.hdr.sgml : 20210104 20210104175154 ACCESSION NUMBER: 0001493152-21-000117 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210104 FILED AS OF DATE: 20210104 DATE AS OF CHANGE: 20210104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Barnard Mark Neal CENTRAL INDEX KEY: 0001834670 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-56224 FILM NUMBER: 21503059 MAIL ADDRESS: STREET 1: C/O HARVEST HEALTH & RECREATION INC. STREET 2: 1155 W. RIO SALADO PARKWAY, SUITE 201 CITY: TEMPE STATE: AZ ZIP: 85281 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HARVEST HEALTH & RECREATION INC. CENTRAL INDEX KEY: 0001760439 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE PRODUCTION - CROPS [0100] IRS NUMBER: 000000000 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: SUITE 2200, HSBC BUILDING STREET 2: 885 WEST GEORGIA STREET CITY: VANCOUVER STATE: A1 ZIP: V6C 3E8 BUSINESS PHONE: (480) 493-2571 MAIL ADDRESS: STREET 1: 1155 W. RIO SALADO PARKWAY STREET 2: SUITE 201 CITY: TEMPE STATE: AZ ZIP: 85281 3 1 ownership.xml X0206 3 2021-01-04 0 0001760439 HARVEST HEALTH & RECREATION INC. HRVSF 0001834670 Barnard Mark Neal 1155 W. RIO SALADO PARKWAY, SUITE 201 TEMPE AZ 85281 1 0 0 0 Subordinate Voting Shares 216650 D Subordinate Voting Shares 56800 D Stock Options 6.55 2028-11-14 Subordinate Voting Shares 150000 D Stock Options 10.20 2029-03-13 Subordinate Voting Shares 150000 D Stock Options 4.05 2030-02-03 Subordinate Voting Shares 75000 D Restricted Stock Units 2.75 Subordinate Voting Shares 69447 D Shares held by reporting person in joint account with spouse. The stock options were granted on November 14, 2018 and vest in four equal annual installments beginning on November 14, 2019. The stock options were granted on March 13, 2019 and vest in four equal annual installments beginning on March 13, 2020. Exercise price is denominated and reported in Canadian dollars. The stock options were granted on February 3, 2020 and vest in four equal annual installments beginning on March 13, 2020. The restricted stock units were granted on December 31, 2020 and vest 100% on 12/31/2021. Each RSU represents a contingent right to receive one Subordinate Voting Share of the Issuer. /s/ Allison McBride, Attorney-in-fact 2021-01-04