0001179110-21-004911.txt : 20210505 0001179110-21-004911.hdr.sgml : 20210505 20210505164507 ACCESSION NUMBER: 0001179110-21-004911 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210503 FILED AS OF DATE: 20210505 DATE AS OF CHANGE: 20210505 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Simpson Tom CENTRAL INDEX KEY: 0001808347 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14818 FILM NUMBER: 21894119 MAIL ADDRESS: STREET 1: 38 CORPORATE CIRCLE CITY: ALBANY STATE: NY ZIP: 12203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Kaspien Holdings Inc. CENTRAL INDEX KEY: 0000795212 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL- COMPUTER & PRERECORDED TAPE STORES [5735] IRS NUMBER: 141541629 STATE OF INCORPORATION: NY FISCAL YEAR END: 0201 BUSINESS ADDRESS: STREET 1: 2818 N. SULLIVAN RD. CITY: SPOKANE STATE: WA ZIP: 99216 BUSINESS PHONE: 5184521242 MAIL ADDRESS: STREET 1: 2818 N. SULLIVAN RD. CITY: SPOKANE STATE: WA ZIP: 99216 FORMER COMPANY: FORMER CONFORMED NAME: TRANS WORLD ENTERTAINMENT CORP DATE OF NAME CHANGE: 19941212 FORMER COMPANY: FORMER CONFORMED NAME: TRANS WORLD MUSIC CORP DATE OF NAME CHANGE: 19920703 4 1 edgar.xml FORM 4 - X0306 4 2021-05-03 0 0000795212 Kaspien Holdings Inc. KSPN 0001808347 Simpson Tom PO BOX 462 EAST SCHODACK NY 12063 1 0 0 0 Common stock, par value $0.1 per share 2021-05-03 4 A 0 3000 20.41 A 60000 D Common stock, par value $0.01 per share 12593 I By Kick Start III, LLC Common stock. par value $0.01 per share 8395 I By Kick Start IV, LLC Common stock, par value $0.01 per share 23879 I By WIN Partners Common stock, par value $0.01 per share 9737 I BY Kick Start, LLC Common stock, par value $0.01 per share 25 I By Wife Director Stock Option (Right to Buy) 20.41 2021-05-03 4 A 0 1250 0 A 2031-05-03 Common stock, par value $0.1 per share 1250 2000 D Warrant to purchase common stock, par value $0.01 per share .01 2020-03-30 2025-03-30 Common stock, par value $0.01 per share 1448 1448 I By Kick Start III, LLC Warrant to purchase common stock, par value $0.01 per share .01 2020-03-30 2025-03-30 Common stock, par value $0.1 per share 965 965 I By Kick Start IV, LLC The equity transactions listed above is pursuant to equity plans qualified under 16b-3 and exempt from Section 16(b) of the Securities Exchange Act Option grants become exercisable in 4 equal annual installments beginning on the first anniversary of the date of grant and expire 10 years after grant. Annual compensation paid in shares of common stock pursuant to the 2005 Long Term Incentive and Share Award Plan, as Amended, which such plan qualifies under Section 16(b)-3 Securities held by Kick Start, LLC. Mr. Simpson holds an interest, manages and has voting control of Kick Start, LLC. Securities held by Kick Start III, LLC. Mr. Simpson holds an interest, manages and has voting control of Kick Start III, LLC. Securities held by Kick Start IV, LLC. Mr. Simpson holds an interest, manages and has voting control of Kick Start IV, LLC. Securities held by WIN Partners. Mr. Simpson holds an interest, manages and has voting control of WIN Partners. Tom Simpson 2021-05-05