SEC Info - Hawks Carney, et al. - ‘4’ for 4/12/23 re: Hawks Acquisition Corp.

FORM 4

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN 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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(Print or Type Responses)

1. Name and Address of Reporting Person ^*

Hawks Carney

2. Issuer Name and Ticker or Trading Symbol
Hawks Acquisition Corp [HWKZ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

__X__ Director

__X__ 10% Owner

_____ Officer (give title below)

__X__ Other (specify below)

See Remarks

(Last)

(First)

(Middle)

600 LEXINGTON AVENUE, 9TH FLOOR

3. Date of Earliest Transaction (Month/Day/Year)
4/12/23

(Street)

NEW YORK, NY 10022

4. If Amendment, Date 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

(City)

(State)

(Zip)

Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

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

Amount

(A) or (D)

Price

Class A Common Stock

4/12/23

5,482,000 ⁽¹⁾

⁽¹⁾

5,482,000

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

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SEC 1474 (9-02)

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 Underlying Securities
(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 of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

Code

(A)

(D)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

Class B Common Stock

⁽¹⁾

4/12/23

5,482,000

⁽¹⁾

Class A Common Stock

5,482,000

⁽¹⁾

See footnote ⁽²⁾

Reporting Owners

Reporting Owner Name / Address

Relationships

Director

10% Owner

Officer

Other

Hawks Carney
600 LEXINGTON AVENUE, 9TH FLOOR
NEW YORK, NY 10022

See Remarks

Hawks Sponsor LLC
600 LEXINGTON AVENUE, 9TH FLOOR
NEW YORK, NY 10022

Hawks Acquisition Founders Co LLC
600 LEXINGTON AVENUE, 9TH FLOOR
NEW YORK, NY 10022

JC Hawks & Co LLC
600 LEXINGTON AVENUE, 9TH FLOOR
NEW YORK, NY 10022

Signatures

/s/ See Signatures Included in Exhibit 99.1

4/14/23

^**Signature of Reporting Person

Date

Explanation of Responses:

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).

(1)

On April 12, 2023, the Reporting Person converted its shares of Class B common stock, par value $0.0001 per share, into shares of Class A common stock, par value $0.0001 per share, pursuant to the terms of the Class B common stock as described in the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-258264).

(2)

J. Carney Hawks is the managing member of JC Hawks & Co LLC, which is the managing member of Hawks Acquisition Founders Company LLC, which is the managing member of Hawks Sponsor LLC. The shares beneficially owned by Hawks Sponsor LLC may also be deemed to be beneficially owned by Mr. Hawks, JC Hawks & Co LLC, and Hawks Acquisition Founders Company LLC.

Remarks:
Chief Executive Officer and Chairman of the Board of Directors

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

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____________ Transaction Code:
C	Conversion of derivative security.

Hawks Carney, et al. – ‘4’ for 4/12/23 re: Hawks Acquisition Corp.

On: Friday, 4/14/23, at 5:26pm ET · For: 4/12/23 · Accession #: 950142-23-1104 · File #: 1-40888

Previous ‘4’: ‘4’ on 10/5/22 for 10/4/22 · Next & Latest: ‘4’ on 3/21/24 for 3/19/24

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34

Filing Table of Contents

‘4’ — Ownership Document — es230349208_4-hawks.xml/4.7

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Reporting Owners

Signatures

Explanation of Responses:

Hawks Carney, et al. – ‘4’ for 4/12/23 re: Hawks Acquisition Corp.

On: Friday, 4/14/23, at 5:26pm ET · For: 4/12/23 · Accession #: 950142-23-1104 · File #: 1-40888

Previous ‘4’: ‘4’ on 10/5/22 for 10/4/22 · Next & Latest: ‘4’ on 3/21/24 for 3/19/24

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

‘4’ — Ownership Document — es230349208_4-hawks.xml/4.7

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Reporting Owners

Signatures

Explanation of Responses:

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34

Filing Table of Contents