FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 12/16/2021 |
3. Issuer Name and Ticker or Trading Symbol
Douglas Elliman Inc. [ DOUG ] |
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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) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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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) |
Common Stock | 1,000 | I(1) | By Subsidiary(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. These shares of common stock of the issuer, which represent all of the issuer's authorized and outstanding common stock, are owned directly by New Valley LLC (f/k/a New Valley Corp.), a direct wholly owned subsidiary of Vector Group Ltd. ("Vector") . |
Remarks: |
This Form 3 is being filed in connection with the Securities and Exchange Commission's declaration of effectiveness of the Registration Statement on Form S-1 of Douglas Elliman Inc. ("Douglas Elliman"), which describes the planned distribution by Vector of all of the common stock of Douglas Elliman. New Valley LLC was previously organized as a Delaware corporation under the name New Valley Corp., and this former name is listed above. Concurrently with this filing, a name change request is being made with the Securities and Exchange Commission to reflect this entity's current name, adopted in connection with it becoming a Delaware limited liability company, New Valley LLC. |
/s/ J. Bryant Kirkland III, Senior Vice President, Treasurer and CFO of Vector Group Ltd. | 12/21/2021 | |
/s/ J. Bryant Kirkland III, Senior Vice President, Treasurer and CFO of New Valley LLC (f/k/a New Valley Corp.) | 12/21/2021 | |
** 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. |