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SMFL Smart for Life Inc

3.65
0.33 (9.94%)
04 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Smart for Life Inc NASDAQ:SMFL NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.33 9.94% 3.65 3.00 4.22 5.15 3.262 3.32 3,301,841 05:00:11

Amended Statement of Changes in Beneficial Ownership (4/a)

29/06/2022 3:35pm

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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Altbach Ronald S.
2. Issuer Name and Ticker or Trading Symbol

SMART FOR LIFE, INC. [ SMFL ]
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 SMART FOR LIFE, INC., 990 BISCAYNE BLVD., SUITE 503
3. Date of Earliest Transaction (MM/DD/YYYY)

6/9/2022
(Street)

MIAMI, FL 33132
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

6/13/2022 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. 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 6/9/2022  M  200000 A$0.01 250000 D  
Common Stock 6/9/2022  S(1)  4505 (2)A$0.444 245495 D  
Common Stock         1000000 (3)I Held by Mesa Lane LLC 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (right to buy) $0.01 6/9/2022  M     200000  4/13/2021 4/13/2031 Common Stock 200000 $0 0 D  

Explanation of Responses:
(1) On June 9, 2022, the Reporting Person exercised a stock option to purchase 200,000 shares of common stock of the Issuer for $0.01 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 4,505 of the option shares to pay the exercise price and issuing to the Reporting Person the remaining 195,495 shares.
(2) On June 13, 2022, the Reporting Person filed a Form 4 which incorrectly stated that the number of shares withheld was 888. This amendment has been filed by the Reporting Person to report the correct number of shares.
(3) The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Altbach Ronald S.
C/O SMART FOR LIFE, INC.
990 BISCAYNE BLVD., SUITE 503
MIAMI, FL 33132
X



Signatures
/s/ Ronald S. Altbach6/29/2022
**Signature of Reporting PersonDate


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 control number.

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