Sec Form 3 Filing - Hartje Karen @ Sezzle Inc. - 2021-06-11

Insider filing report for Changes in Beneficial Ownership
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FORM 3
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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Hartje Karen
2. Issuer Name and Ticker or Trading Symbol
Sezzle Inc. [ SZL.AX]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Financial Officer
(Last) (First) (Middle)
251 1ST AVENUE N, SUITE 200
3. Date of Earliest Transaction (MM/DD/YY)
06/11/2021
(Street)
MINNEAPOLIS, MN55401
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $.00001 par value 39,245 ( 1 ) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 Options (right to buy) $ 0.05 ( 2 ) 08/25/2028 Common Stock 1,735,000 D
Stock Options (right to buy) $ 0.84 ( 3 ) 07/26/2029 Common Stock 500,000 D
Stock Options (right to buy) $ 1.37 ( 4 ) 05/22/2030 Common Stock 390,625 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Hartje Karen
251 1ST AVENUE N
SUITE 200
MINNEAPOLIS, MN55401
Chief Financial Officer
Signatures
/s/ Don McConnell, as Attorney-in-Fact 06/11/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Includes 39,245 Restricted Stock Units ("RSU"). Each RSU represents the right to receive one share of Common Stock.
( 2 )1,337,395 shares are currently vested, the remainder vests in equal installments monthly, being fully vested on 8/26/2022.
( 3 )229,167 shares are currently vested, the remainder vests in equal installments monthly, being fully vested on 7/27/2023.
( 4 )Represents the portion of a stock option for which performance conditions have been satisfied, to vest on January 1, 2023. The remaining 781,250 shares will vest on January 1, 2023 to the extent the applicable performance conditions have been satisfied.

Remarks:
Exhibit 24.1 Power of Attorney attached hereto.

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).
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