Sec Form 4 Filing - Herrmann William H Jr @ SIMPLICITY ESPORTS & GAMING Co - 2018-12-28

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
Herrmann William H Jr
2. Issuer Name and Ticker or Trading Symbol
SIMPLICITY ESPORTS & GAMING Co [ WINR]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O SIMPLICITY ESPORTS & GAMING COMPANY, 7000 W. PALMETTO PARK RD., SUITE 505
3. Date of Earliest Transaction (MM/DD/YY)
12/28/2018
(Street)
BOCA RATON, FL33433
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 12/28/2018 J( 1 ) 11,000 A 11,000 D
Common Stock 12/28/2018 A 7,500 A $ 0 18,500 D
Common Stock 03/04/2019 P 2,358 A $ 1.1829 20,858 D
Common Stock 03/13/2019 P 142 A $ 1.189 21,000 D
Common Stock 05/01/2020 P 2,000 A $ 0.83 23,000 D
Common Stock 05/01/2020 P 500 A $ 0.81 23,500 D
Common Stock 05/07/2020 P 23,809 A $ 1.05 47,309 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
Warrant (right to buy) $ 11.5 12/28/2018 J( 1 ) 10,000 01/27/2019 05/22/2024 Common Stock 10,000 ( 1 ) 10,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Herrmann William H Jr
C/O SIMPLICITY ESPORTS & GAMING COMPANY
7000 W. PALMETTO PARK RD., SUITE 505
BOCA RATON, FL33433
X
Signatures
/s/ William H. Herrmann, Jr. 05/15/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )On December 28, 2018, the reporting person purchased 10,000 of the issuer's units at a purchase price of $10.00 per unit in a public offering. Each unit consisted of one share of the issuer's common stock, one right and one warrant. Each right entitled the holder thereof to receive 1/10 of one share of the issuer's common stock upon the consummation of an initial business combination. Each warrant entitled the holder thereof to purchase one share of the issuer's common stock at an exercise price of $11.50 per share.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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