Initial Statement of Beneficial Ownership (3)
31 Dezember 2020 - 10:52PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed 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
*
Hartman Stephen |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/30/2020
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3. Issuer Name and Ticker or Trading Symbol
CLARIVATE Plc [CCC]
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(Last)
(First)
(Middle)
C/O CLARIVATE PLC, FRIARS HOUSE, 160 BLACKFRIARS ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
General Counsel / |
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(Street)
LONDON, X0 SE1 8EZ
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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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) |
| Ordinary Shares | 11267 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Options | (1) | 3/2/2027 | Ordinary Shares | 33774.0 | $6.61 | D | |
| Stock Options | (1) | 3/2/2027 | Ordinary Shares | 24101.0 | $10.39 | D | |
| Stock Options | (1) | 3/2/2027 | Ordinary Shares | 24101.0 | $14.18 | D | |
| Stock Options | (1) | 3/2/2027 | Ordinary Shares | 14482.0 | $17.96 | D | |
| Stock Options | (2) | 5/22/2027 | Ordinary Shares | 52855.0 | $6.61 | D | |
| Stock Options | (3) | 11/13/2028 | Ordinary Shares | 67548.0 | $8.14 | D | |
| Stock Options | (3) | 11/13/2028 | Ordinary Shares | 48203.0 | $12.68 | D | |
| Stock Options | (3) | 11/13/2028 | Ordinary Shares | 48203.0 | $17.23 | D | |
| Stock Options | (3) | 11/13/2028 | Ordinary Shares | 28964.0 | $21.78 | D | |
| Explanation of Responses: |
| (1) | Represents the remaining un-exercised portion of a March 3, 2017 grant of stock options; 50 percent of the reported stock options became exercisable on each of October 3, 2020 and November 30, 2020. |
| (2) | Represents the remaining un-exercised portion of a May 23, 2017 grant of stock options; 50 percent of the reported stock options became exercisable on each of October 3, 2020 and November 30, 2020. |
| (3) | Represents the remaining un-exercised portion of a November 13, 2018 grant of stock options; 25 percent of the reported stock options became exercisable on November 13, 2020 and 75 percent of the reported stock options became exercisable on November 30, 2020. |
Remarks:
Clarivate Plc currently qualifies as a foreign private issuer ("FPI") and the directors, officers and shareholders of Clarivate Plc are currently exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 3a12-3(b) thereunder. As such, this is an informational and voluntary report only, which shall not be deemed an admission that the filing person is required to report beneficial ownership of and transactions in Clarivate Plc securities, or that the filing person is subject to any liabilities or duties under Section 16. Clarivate Plc anticipates that it will no longer retain FPI status after December 31, 2020. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Hartman Stephen
C/O CLARIVATE PLC
FRIARS HOUSE, 160 BLACKFRIARS ROAD
LONDON, X0 SE1 8EZ |
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| General Counsel |
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Signatures
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| /s/ Stephen Hartman | | 12/30/2020 |
| **Signature of Reporting Person | Date |
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