Statement of Changes in Beneficial Ownership (4)
12 June 2021 - 8:10AM
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
*
Stewart Thomas Carlton |
2. Issuer Name and Ticker or Trading Symbol
Canopy Growth Corp
[
CGC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Accounting Officer |
(Last)
(First)
(Middle)
C/O CANOPY GROWTH CORPORATION, 1 HERSHEY DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/9/2021 |
(Street)
SMITHS FALLS, A6 K7A 0A8
(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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Common Shares | 6/9/2021 | | A | | 2405 (1) | A | $0.00 | 5529 | 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 |
Stock Option | $30.87 (2) | 6/9/2021 | | A | | 3207 | | (3) | 6/9/2027 | Common Shares | 3207 | $0.00 | 3207 | D | |
Explanation of Responses: |
(1) | The shares reported herein were granted on June 9, 2021, in the form of restricted stock units, which will vest equally in three annual installments on the first, second and third anniversaries of the grant date. |
(2) | The price is expressed in Canadian dollars |
(3) | The options vest in three equal annual installments on the first, second and third anniversaries of the grant date of June 9, 2021 |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stewart Thomas Carlton C/O CANOPY GROWTH CORPORATION 1 HERSHEY DRIVE SMITHS FALLS, A6 K7A 0A8 |
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| Chief Accounting Officer |
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Signatures
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/s/ Emily Evelyn Howe for
Thomas Carlton Stewart | | 6/11/2021 |
**Signature of Reporting Person | Date |
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