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 | ||||
Restricted Stock Units (1) | (2) | (2) | Common Stock | 1,500 | $ (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Encalada Arjona Carlos Enrique 322 SOUTH MAIN STREET GREENVILLE, SC 29601 |
V.P. of Manufacturing |
/s/ Lauren Satterfield, POA | 10/16/2020 | |
**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 ownership of Restricted Stock Units by the Reporting Person was inadvertently omitted from the original filing. |
(2) | These Restricted Stock Units were granted prior to the effective date of the Reporting Person's appointment as an executive officer of Delta Apparel, Inc. These Restricted Stock Units vest on the date of the Company's filing of its Annual Report on Form 10-K for its fiscal year ending October 2, 2021. |
(3) | One-half of these Restricted Stock Units convert into Delta Apparel, Inc. Common Stock on a one-for-one basis and the remaining half convert into a cash amount equal to the market value of one-half of the aggregate Restricted Stock Units that vest. |