Sec Form 4 Filing - ROUHANA WILLIAM J JR @ Chicken Soup for the Soul Entertainment, Inc. - 2020-11-27

Insider filing report for Changes in Beneficial Ownership
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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
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
ROUHANA WILLIAM J JR
2. Issuer Name and Ticker or Trading Symbol
Chicken Soup for the Soul Entertainment, Inc. [ CSSE]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Executive Officer
(Last) (First) (Middle)
132 E. PUTNAM AVENUE, FLOOR 2W
3. Date of Earliest Transaction (MM/DD/YY)
11/27/2020
(Street)
COS COB, CT06807
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ 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
Class A Common Stock 11/27/2020 C 159,432 A 159,432 I By Trema, LLC ( 1 )
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
Class B Common Stock ( 2 ) 11/27/2020 C 159,432 ( 2 ) ( 2 ) Class A Common Stock 159,432 ( 2 ) 0 I By Trema, LLC ( 1 )
Class B Common Stock ( 2 ) ( 2 ) ( 2 ) Class A Common Stock 7,654,506 7,654,506 I By Chicken Soup for the Soul Productions, LLC ( 4 )
Class W Warrants $ 7.5 11/27/2020 J( 3 ) 21,892 08/17/2017 06/30/2023 Class A Common Stock 21,892 $ 7.5 135,608 I By Trema, LLC ( 1 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
ROUHANA WILLIAM J JR
132 E. PUTNAM AVENUE
FLOOR 2W
COS COB, CT06807
X X Chief Executive Officer
Chicken Soup for the Soul Productions, LLC
132 E. PUTNAM AVENUE
FLOOR 2W
COS COB, CT06807
X
Chicken Soup for the Soul Holdings, LLC
132 E. PUTNAM AVENUE
FLOOR 2W
COS COB, CT06807
X
Signatures
William J. Rouhana, Jr. 11/30/2020
Signature of Reporting Person Date
William J. Rouhana, Jr., CEO 11/30/2020
Signature of Reporting Person Date
William J. Rouhana, Jr., CEO 11/30/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Trema, LLC is an entity controlled by Mr. Rouhana.
( 2 )The Class B Common Stock is convertible into the Issuer's Class A Common Stock as described under the heading "Description of Securities - Common Stock" in the Issuer's offering statement on Form 1-A (File No. 024-10704). The Class B Common Stock has no expiration date.
( 3 )Distribution to the members of Trema, LLC, an entity controlled by Mr. Rouhana.
( 4 )Chicken Soup for the Soul Productions, LLC is controlled by Chicken Soup for the Soul, LLC, which is controlled by Chicken Soup for the Soul Holdings, LLC, which is controlled by E Brands LLC, which is controlled by Trema, LLC, which is controlled by Mr. Rouhana.

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).

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