SEC FORM 4 SEC Form 4
FORM 4 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
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Greenhaven Road Investment Management, L.P.

(Last) (First) (Middle)
C/O ROYCE & ASSOCIATES LLC
8 SOUND SHORE DRIVE, SUITE 190

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
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)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
01/01/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X 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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 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 ($0.0001 par value) 01/01/2019 J(3) 87,956 D (3) 332,167 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 01/01/2019 J(3) 87,956 A (3) 369,210 I By: Greenhaven Road Capital Fund 2, L.P.(2)
Common Stock ($0.0001 par value) 01/02/2019 P 1,677 A $7.5314(4) 333,844 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 01/02/2019 P 1,122 A $7.5314 370,332 I By: Greenhaven Road Capital Fund 2, L.P.(2)
Common Stock ($0.0001 par value) 01/03/2019 P 2,848 A $7.8785 336,692 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 01/03/2019 P 1,905 A $7.8785 372,237 I By: Greenhaven Road Capital Fund 2, L.P.(2)
Common Stock ($0.0001 par value) 01/31/2019 P 18,004 A $7.9708(5) 354,696 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 02/01/2019 P 14,979 A $7.9041(6) 369,675 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 02/06/2019 P 1,439 A $7.4 371,114 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 03/15/2019 J(7) 13,050 A $8.25(7) 384,164 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 03/15/2019 J(7) 13,050 D $8.25(7) 359,187 I By: Greenhaven Road Capital Fund 2, L.P.(2)
Common Stock ($0.0001 par value) 03/29/2019 P 3,876 A $10.0601(8) 388,040 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 03/29/2019 P 4,624 A $10.0054(8) 363,811 I By: Greenhaven Road Capital Fund 2, L.P.(2)
Common Stock ($0.0001 par value) 04/01/2019 P 14,199 A $10.8736 402,239 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 04/01/2019 P 14,101 A $10.8736 377,912 I By: Greenhaven Road Capital Fund 2, L.P.(2)
Common Stock ($0.0001 par value) 06/19/2019 P 453 A $7.38 402,692 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 06/19/2019 P 447 A $7.38 378,359 I By: Greenhaven Road Capital Fund 2, L.P.(2)
Common Stock ($0.0001 par value) 06/20/2019 P 1,505 A $7.3922 404,197 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 06/20/2019 P 1,490 A $7.3922 379,849 I By: Greenhaven Road Capital Fund 2, L.P.(2)
Common Stock ($0.0001 par value) 06/21/2019 P 1,330 A $7.3773 405,527 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 06/21/2019 P 1,317 A $7.3773 381,166 I By: Greenhaven Road Capital Fund 2, L.P.(2)
Common Stock ($0.0001 par value) 06/24/2019 P 1,215 A $7.3911 406,742 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 06/24/2019 P 1,202 A $7.3911 382,368 I By: Greenhaven Road Capital Fund 2, L.P.(2)
Common Stock ($0.0001 par value) 06/25/2019 P 1,872 A $7.3434 408,614 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 06/25/2019 P 1,854 A $7.3434 384,222 I By: Greenhaven Road Capital Fund 2, L.P.(2)
Common Stock ($0.0001 par value) 06/26/2019 P 496 A $7.42 409,110 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 06/26/2019 P 491 A $7.42 384,713 I By: Greenhaven Road Capital Fund 2, L.P.(2)
Common Stock ($0.0001 par value) 06/27/2019 P 1,308 A $7.4012 410,418 I By: Greenhaven Road Capital Fund 1, L.P.(1)
Common Stock ($0.0001 par value) 06/27/2019 P 1,295 A $7.4012 386,008 I By: Greenhaven Road Capital Fund 2, L.P.(2)
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 (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 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 (Month/Day/Year) 7. 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: 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
1. Name and Address of Reporting Person*
Greenhaven Road Investment Management, L.P.

(Last) (First) (Middle)
C/O ROYCE & ASSOCIATES LLC
8 SOUND SHORE DRIVE, SUITE 190

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
1. Name and Address of Reporting Person*
MVM Funds LLC

(Last) (First) (Middle)
C/O ROYCE & ASSOCIATES LLC
8 SOUND SHORE DRIVE, SUITE 190

(Street)
GREENWICH CT 06930

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Greenhaven Road Capital Fund 1, L.P.

(Last) (First) (Middle)
C/O ROYCE & ASSOCIATES LLC
8 SOUND SHORE DRIVE, SUITE 190

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Greenhaven Road Capital Fund 2, L.P.

(Last) (First) (Middle)
C/O ROYCE & ASSOCIATES LLC
8 SOUND SHORE DRIVE, SUITE 190

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Miller Scott Stewart

(Last) (First) (Middle)
C/O ROYCE & ASSOCIATES LLC
8 SOUND SHORE DRIVE, SUITE 190

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
Explanation of Responses:
1. Greenhaven Road Capital Fund 1, L.P. ("Fund 1") is a private investment vehicle. Fund 1 directly owns these securities reported herein. Greenhaven Road Investment Management, LP (the "Investment Manager") is the investment manager of Fund 1. MVM Funds, LLC (the "General Partner") is the general partner of Fund 1 and the Investment Manager. Scott Miller is the controlling person of the General Partner. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose.
2. Greenhaven Road Capital Fund 2, L.P. ("Fund 2") is a private investment vehicle. Fund 2 directly owns these securities reported herein. The Investment Manager is the investment manager of Fund 2. The General Partner is the general partner of Fund 2. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose.
3. Represents a transfer from Fund 1 to Fund 2 and a mere change in the form of beneficial ownership (certain investors in Fund 1 were moved to Fund 2 along with their pro rata share of the assets of Fund 1).
4. All prices reported herein are exclusive of brokerage commissions.
5. The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $7.91 to $8.0204, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnotes (5), (6) and (8) of this Form 4.
6. The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $7.8945 to $7.91, inclusive.
7. Represents a portfolio rebalance transaction between Fund 1 and Fund 2.
8. The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $9.6062 to $10.6284, inclusive.
/s/ Scott Miller, for himself and as the Managing Member of the General Partner (for itself and on behalf of Fund 1, Fund 2 and the Investment Manager) 08/09/2019
** 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 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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