3/A: Initial statement of beneficial ownership of securities
Published on February 14, 2022
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIESFiled 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/03/2021 |
3. Issuer Name and Ticker or Trading Symbol
Cadre Holdings, Inc. [ CDRE ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 11/03/2021 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Common Stock, par value $0.0001 per share ("Common Stock") | 1,052,899 | I | See Footnote(1)(2) |
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Explanation of Responses: |
| 1. This Form 3 amendment is being filed to amend the original Form 3 filed by the Reporting Person on November 3, 2021 (the "Original Form 3"). The amount of shares of Common Stock reported in the Original Form 3 as representing the Reporting Person's pecuniary interest in the shares of Common Stock held by Maui Holdings, LLC was based on the Reporting Person's good faith estimate using information available to the Reporting Person at the time of filing of the Original Form 3. |
| 2. The Reporting Person's pecuniary interest in the shares of Common Stock of the Issuer are held indirectly through Maui Holdings, LLC, an entity in which the Reporting Person and certain entities that are controlled by him are members. The shares of Common Stock described in this statement are allocated as follows: 126,347 shares to the Reporting Person directly; 589,620 shares to ST Investors Fund, LLC; 252,701 shares to Korsak Holdings, LLC; and 84,231 shares to Madetys Investments LLC. The Reporting Person as the general manager of each of ST Investors Fund, LLC, Korsak Holdings, LLC and Madetys Investments LLC has an indirect beneficial ownership interest in the shares of Common Stock in which these entities have a pecuniary interest. The Reporting Person disclaims beneficial ownership of the shares of Common Stock described in this statement, except to the extent of his pecuniary interest therein, directly or indirectly. |
| /s/ Nicolas Sokolow | 02/14/2022 | |
| ** 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 5 (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.