SEC FORM
3
SEC Form 3
| 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
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
| C/O ARHAUS, INC. |
| 51 E. HINES HILL ROAD |
(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
Arhaus, Inc.
[ ARHS ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| CHIEF FINANCIAL OFFICER |
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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)
| 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 |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
| Class A Common Stock |
574,985 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
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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
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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: |
| Remarks: |
|
|
/s/ Suzanne Hanselman Attorney-in-Fact |
11/04/2021 |
|
** 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. |
POWER OF ATTORNEY
Know all by these present, that the undersigned does hereby constitute and
appoint Christian Sedor, Suzanne Hanselman, Charlotte Pasiadis and Tess
Wafelbakker, and each of them, as the undersigned's true and lawful attorneys-
in-fact and agents to do any and all things, and execute any or all instruments
which, after the advice of counsel, said attorneys and agents may deem necessary
and advisable to enable the undersigned to comply with the Securities Exchange
Act of 1934, as amended, and any rules, regulations and requirements of the
Securities and Exchange Commission ("SEC"), including specifically, but without
limitation thereof, power of attorney to sign the undersigned's name to a Form
ID, Form 144, Form 3, Form 4, Form 5, Schedule 13D or Schedule 13G and any
amendments thereto, to be filed with the SEC; and the undersigned does hereby
ratify and confirm all that any of said attorneys and agents shall do or cause
to be done by virtue hereof. The undersigned may revoke the authority granted
herein upon delivering a signed written notice to the foregoing attorneys-in-
fact.
Executed on this 22nd day of September, 2021.
/s/ Dawn Phillipson
------------------------------------
Name: Dawn Phillipson
