UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Franklin Michael E. C/O WHOLE EARTH BRANDS, INC. 125 S. WACKER DRIVE, SUITE 1250 CHICAGO, IL 60606 |
X |
/s/ Ira W. Schlussel, as Attorney-in-Fact for Michael E. Franklin | 09/01/2022 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The Reporting Person is the son of Sir Martin E. Franklin ("MEF"). MEF is the trustee, settlor and sole beneficiary of the Martin E. Franklin Revocable Trust (the "Franklin Trust") and the manager of Sababa Holdings FREE LLC ("Sababa"). The Franklin Trust is the sole member of Sababa. As disclosed in that Schedule 13G/A filed with the SEC on May 18, 2022 and that Form 3 filed by Sababa with the SEC on May 27, 2022, Sababa is the owner of 5,766,300 shares of the common stock, par value $0.0001 per share, of the Issuer (the "Franklin Shares") (which shares represent 13.76% of the outstanding common stock of the Issuer). MEF has the sole voting and disposition power with respect to the Franklin Shares. MEF does not control or influence the Reporting Person and MEF is not controlled or influenced by the Reporting Person. The Reporting Person holds a profits interest in Sababa. The Reporting Person disclaims beneficial ownership of the Franklin Shares. |
Remarks: Exhibit 24.1 Power of Attorney |