Statement of Changes in Beneficial Ownership (4)
05 October 2022 - 3:49AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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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LEVAN ALAN B |
2. Issuer Name and Ticker or Trading Symbol
BBX Capital, Inc.
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BBXIA/B
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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)
Chairman |
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(Last)
(First)
(Middle)
201 EAST LAS OLAS BOULEVARD, SUITE 1900 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/1/2022 |
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(Street)
FORT LAUDERDALE, FL 33301
(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, par value $0.01 per share | 10/1/2022 | | F | | 20652 (1) | D | $7.99 (2) | 821354 (3) | D | |
| Class A Common Stock, par value $0.01 per share | | | | | | | | 986197 (3) | I | By Levan Partners, LLC |
| Class B Common Stock, par value $0.01 per share | | | | | | | | 141577 (3) | I | By Levan Partners, LLC |
| Class A Common Stock, par value $0.01 per share | | | | | | | | 78700 (3) | I | By Susie and Alan B. Levan Family Foundation, Inc. |
| Class A Common Stock, par value $0.01 per share | | | | | | | | 7344 (3) | I | By Levan Children's Trust |
| Class B Common Stock, par value $0.01 per share | | | | | | | | 336915 (3) | I | By Levan BFC Stock Partners, LP |
| Class A Common Stock, par value $0.01 per share | | | | | | | | 2341 (3) | I | By Spouse |
| Class B Common Stock, par value $0.01 per share | | | | | | | | 240 (3) | I | By Spouse |
| Class B Common Stock, par value $0.01 per share | | | | | | | | 864426 (3) | 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 |
| Explanation of Responses: |
| (1) | Represents shares surrendered to the issuer to satisfy the issuer's tax withholding obligation relating to the vesting on the transaction date of certain restricted stock awards previously granted to the reporting person. These shares have been cancelled and retired by the issuer. |
| (2) | Represents the closing price of the issuer's Class A Common Stock on September 30, 2022, the last day of trading prior to the transaction date. |
| (3) | Shares of the issuer's Class B Common Stock are convertible on a share-for-share basis into the issuer's Class A Common Stock at any time in the holder's discretion. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
LEVAN ALAN B
201 EAST LAS OLAS BOULEVARD
SUITE 1900
FORT LAUDERDALE, FL 33301 | X | X | Chairman |
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Signatures
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| s/Brett Sheppard, Chief Financial Officer, BBX Capital Inc., Attorney-in-Fact for Alan B. Levan | | 10/4/2022 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | 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). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| 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. |
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