# EDGAR Filing Document

**Accession Number:** 0001755814
**File Stem:** 0001437749-23-005239
**Filing Date:** 2023-3
**Character Count:** 6537
**Document Hash:** aaedd652574d51a1c3c20f7edba17c19
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-23-005239.hdr.sgml**: 20230302

**ACCESSION NUMBER**: 0001437749-23-005239

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230228

**FILED AS OF DATE**: 20230302

**DATE AS OF CHANGE**: 20230302

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Kleinhammer Alea Ann
- **CENTRAL INDEX KEY:** 0001755814

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-56469
- **FILM NUMBER:** 23699871

**MAIL ADDRESS:**
- **STREET 1:** 1706 CARTER STREET
- **CITY:** RICHMOND
- **STATE:** VA
- **ZIP:** 23220
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ENDI Corp.
- **CENTRAL INDEX KEY:** 0001908984
- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTMENT ADVICE [6282]
- **IRS NUMBER:** 874284605
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 1806 SUMMIT AVE, STE 300
- **CITY:** RICHMOND
- **STATE:** VA
- **ZIP:** 23230
- **BUSINESS PHONE:** (434) 336-7737

**MAIL ADDRESS:**
- **STREET 1:** 1806 SUMMIT AVE, STE 300
- **CITY:** RICHMOND
- **STATE:** VA
- **ZIP:** 23230

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Kleinhammer Alea Ann<br><sub>(Last) (First) (Middle)</sub><br>2400 OLD BRICK ROAD<br>SUITE 115, C/O ENDI CORP.<br><sub>(Street)</sub><br>GLEN ALLEN, VA 23060<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-28 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Financial Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ENDI Corp. [ ENDI ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | <sup>(1)</sup> | 2023-02-28 |  | A |  | 45348<sup>(2)</sup> |  | <sup>(2)</sup> | <sup>(2)</sup> | Class A Common Stock | 45348<sup>(2)</sup> | $0 | 45348<sup>(2)</sup> | D |  |

---

### Footnotes:

(1) Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

(2) The restricted stock unit grant was approved by the Issuer's board of directors on February 28, 2023, subject to stockholder approval of the Issuer's 2022 Omnibus Equity Incentive Plan (the "Stockholder Approval") under which the restricted stock unit grant was awarded. The restricted stock units shall vest in four equal annual installments with the first installment vesting on January 1, 2025, subject to receipt of Stockholder Approval. Notwithstanding the foregoing, if the Issuer's stockholders do not approve the 2022 Omnibus Equity Incentive Plan at the Issuer's 2023 annual stockholder meeting, the restricted stock unit grant shall be null and void. The restricted stock units shall be settled by the Issuer in the year following the year in which the applicable vesting date occurs, but no later than March 15 of such following year.

**Signature:** /s/ David Sherman as Attorney-In-Fact for Alea Kleinhammer  
**Date:** 2023-03-02

### Remarks:

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).

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.**