SEC FORM
4
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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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). |
1. Name and Address of Reporting Person*
C/O LIFETIME BRANDS, INC. |
1000 STEWART AVENUE |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
LIFETIME BRANDS, INC
[ LCUT ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
X |
Officer (give title below) |
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Other (specify below) |
SVP - Finance, CFO & Treasurer |
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3. Date of Earliest Transaction
(Month/Day/Year) 06/09/2019
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction 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 |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
06/09/2019 |
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F
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340 |
D |
$8.59
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59,968 |
D |
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Common Stock |
06/10/2019 |
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F
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213 |
D |
$8.74
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59,755 |
D |
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Common Stock |
06/22/2019 |
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F
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340 |
D |
$9.18
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59,415 |
D |
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Common Stock |
06/27/2019 |
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A |
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4,000
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A |
$0.00
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63,415 |
D |
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Common Stock |
06/28/2019 |
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F
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383 |
D |
$9.46
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63,032 |
D |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of Responses: |
Remarks: |
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/s/ Sara Shindel, attorney-in-fact for Laurence Winoker |
07/01/2019 |
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** 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 Number. |
Power of Attorney
Know all by these presents, that the undersigned hereby constitutes and
appoints Sara Shindel, signing singly, his true and lawful attorney-in-fact, to:
1. execute for and on behalf of the undersigned, in the undersigned's
capacity as an officer of Lifetime Brands, Inc. (the "Company"), Forms
3, 4 and 5 in accordance with Section 16(a) of the Exchange Act and
the rules thereunder; and
2. do and perform any and all acts for and on behalf of the undersigned
which may be necessary or desirable to complete the execution of any
such Forms 3, 4 or 5 and the timely filing of such Forms with the
United States Securities and Exchange Commission and any other
authority.
The undersigned hereby grants to such attorney-in-fact full power and
authority to do and perform all and every act and thing whatsoever requisite,
necessary and proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation.
The undersigned hereby ratifies and confirms that such attorney-in-fact, or her
substitute or substitutes, shall lawfully do or cause to be done by virtue of
this power of attorney and the rights and powers herein granted. The undersigned
acknowledges that (i) this Power of Attorney authorizes, but does not require,
such attorney-in-fact to act in her discretion on information provided to such
attorney-in-fact without independent verification of such information; and (ii)
the foregoing attorney- in-fact, in serving in such capacity at the request of
the undersigned, is not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Exchange Act,
any liability of the undersigned for any failure to comply with such
requirements, or any obligation or liability of the undersigned for profit
disgorgement as provided in Section 16(b) of the Exchange Act.
This power of attorney shall expire on the date the undersigned shall no
longer be required to file reports under Section 16(a) of the Securities
Exchange Act of 1934, unless earlier revoked by the undersigned or the attorney-
in-fact, as applicable, in a signed writing delivered to either the foregoing
attorney-in-fact, or the undersigned, as applicable.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 13th day of April, 2016.
/s/ Laurence Winoker
Laurence Winoker
STATE OF New York)
) ss.:
COUNTY OF Suffolk)
I, Diane Weill, a Notary Public of the aforesaid County and State, do hereby
certify that Laurence Winoker personally appeared before me this day and
acknowledged that he is the individual who signed the aforesaid Power of
Attorney as his free act and deed.
WITNESS MY HAND AND OFFICIAL SEAL this 13 day of April 2016.
/s/ Diane Weill
Notary Public