Statement of Changes in Beneficial Ownership (4)
22 December 2021 - 8:23AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
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Reed John P |
2. Issuer Name and Ticker or Trading Symbol
Arhaus, Inc.
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ARHS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
CEO and Chairman |
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(Last)
(First)
(Middle)
C/O ARHAUS, INC., 51 E. HINES HILL ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/20/2021 |
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(Street)
BOSTON HEIGHTS, OH 44236
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Class A Common Stock | 12/20/2021 | | C | | 421350 | A | $0 | 422350 | I | By 1985 Trust (1) |
| Class A Common Stock | 12/20/2021 | | J(2) | | 421350 | D | $0 | 1000 | I | By 1985 Trust (1) |
| Class A Common Stock | | | | | | | | 100 | I | As Custodian |
| Class A Common Stock | | | | | | | | 10000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Class B Common Stock | $0.0 | 12/20/2021 | | C | | | 421350 | (3) | (3) | Class A Common Stock | 421350.0 | $0 | 42095271 | I | By 1985 Trust |
| Class B Common Stock | $0.0 | | | | | | | (3) | (3) | Class A Common Stock | 2982988.0 | | 2982988 | D | |
| Class B Common Stock | $0.0 | | | | | | | (3) | (3) | Class A Common Stock | 7035433.0 | | 7035433 | I | By GRAT |
| Explanation of Responses: |
| (1) | Includes 1,000 shares originally reported on Form 4 dated December 10, 2021, as being held by John P Reed Irrevocable Trust, dated 03/25/2013. The correct name of the trust is The John P Reed Trust dated 04/29/1985, as amended (the "1985 Trust"). |
| (2) | As reported on a Form 8-K filed by Arhaus, Inc. (the "Company"), on December 21, 2021, in connection with the Company's recent initial public offering, the Reporting Person transferred shares to certain employees of the Company to recognize their contributions to the Company. |
| (3) | Class B Common Stock is convertible into an equal number of shares of Class A Common Stock at any time, at the holder's election, and it is automatically convertible upon the terms and conditions set forth in the Issuer's Amended and Restated Certificate of Incorporation, and has no expiration date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Reed John P
C/O ARHAUS, INC.
51 E. HINES HILL ROAD
BOSTON HEIGHTS, OH 44236 | X | X | CEO and Chairman |
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Signatures
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| /s/ Suzanne Hanselman Attorney-in-Fact | | 12/21/2021 |
| **Signature of Reporting Person | Date |
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