Statement of Changes in Beneficial Ownership (4)
19 November 2021 - 8:11AM
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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OMB APPROVAL
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3235-0287
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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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Dossey Douglas J |
2. Issuer Name and Ticker or Trading Symbol
TUESDAY MORNING CORP/DE
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TUEM
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
6250 LBJ FWY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/16/2021 |
(Street)
DALLAS, TX 75240
(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 Stock | 11/16/2021 | | A | | 29091 (1) | A | $0.00 | 81091 | D | |
Common Stock | | | | | | | | 20158593 | I | see footnotes (2)(3)(4) |
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) | These shares represent shares of restricted stock units, all of which vest on the one year anniversary of the grant date, subject to the terms of the Company's long-term incentive plan and the applicable award agreement. |
(2) | These securities are held directly by Osmium Partners (Larkspur SPV), LP ("Osmium Larkspur), the general partner of which is Osmium Partners (Equation) LLC ("Osmium Equation"). The Managing Members of Osmium Equation are Osmium Partners, LLC and Tensile Capital Partners Master Fund LP. |
(3) | The general partner and investment adviser of Tensile Capital Partners Master Fund LP are Tensile Capital GP LLC and Tensile Capital Management LP, respectively. The general partner of Tensile Capital Management LP is Tensile Capital Management GP LLC. |
(4) | Douglas J. Dossey is a controlling principal of Tensile Capital Management LP, Tensile Capital Management GP LLC, and Tensile Capital GP LLC. Mr. Dossey may be deemed to share beneficial ownership of these securities with Osmium Equation. Mr. Dossey disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that Mr. Dossey is the beneficial owner of these securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Dossey Douglas J 6250 LBJ FWY DALLAS, TX 75240 | X |
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Signatures
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By: /s/ Bridgett Zeterberg, Attorney in Fact for Douglas Dossey | | 11/18/2021 |
**Signature of Reporting Person | Date |
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