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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 10/08/2021 | D | 71,630 | (1) | (1) | Common Stock | 0 | $ 0 | 0 | D | ||||
Performance-Based Restricted Stock Units | (2) | 10/08/2021 | D | 25,568 | (2) | (2) | Common Stock | 0 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rusie Andrew C/O WHOLE EARTH BRANDS, INC 125 S. WACKER DRIVE, SUITE 3150 CHICAGO, IL 60606 |
Ex-Chief Financial Officer |
/s/ Andrew Rusie, by Ira W. Schlussel, as Attorney-in-Fact | 10/12/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Represents unvested restricted stock units that were forfeited upon the reporting person's resignation as the Company's Chief Financial Officer, effective October 8, 2021. |
(2) | Represents unvested performance-based restricted stock units that were forfeited upon the reporting person's resignation as the Company's Chief Financial Officer, effective October 8, 2021. |
Remarks: The reporting person resigned as Whole Earth Brands, Inc.'s Chief Financial Officer effective October 8, 2021. As a result, the reporting person is no longer subject to Section 16 in connection with his transactions in the equity securities of Whole Earth Brands, Inc. and therefore will no longer report any such transactions on Form 4 or Form 5. |