# EDGAR Filing Document

**Accession Number:** 0001058307
**File Stem:** 0001493152-23-006570
**Filing Date:** 2023-3
**Character Count:** 8630
**Document Hash:** 1dd921d858bbd1573c786c70eb00b580
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-006570.hdr.sgml**: 20230302

**ACCESSION NUMBER**: 0001493152-23-006570

**CONFORMED SUBMISSION TYPE**: 3/A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20210824

**FILED AS OF DATE**: 20230302

**DATE AS OF CHANGE**: 20230302

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** ELLENOFF DOUGLAS
- **CENTRAL INDEX KEY:** 0001208497

**FILING VALUES:**
- **FORM TYPE:** 3/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40447
- **FILM NUMBER:** 23699088

**MAIL ADDRESS:**
- **STREET 1:** C/O INTERVISUAL BOOKS INC
- **STREET 2:** 12910 CULVER BLVD #C
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90066
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NextPlat Corp
- **CENTRAL INDEX KEY:** 0001058307
- **STANDARD INDUSTRIAL CLASSIFICATION:** TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813]
- **IRS NUMBER:** 650783722
- **STATE OF INCORPORATION:** NV
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 3250 MARY ST
- **STREET 2:** SUITE 410
- **CITY:** COCONUT GROVE
- **STATE:** FL
- **ZIP:** 33133
- **BUSINESS PHONE:** 1-305-560-5355

**MAIL ADDRESS:**
- **STREET 1:** 3250 MARY ST
- **STREET 2:** SUITE 410
- **CITY:** COCONUT GROVE
- **STATE:** FL
- **ZIP:** 33133

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ORBSAT CORP
- **DATE OF NAME CHANGE:** 20190819

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Orbital Tracking Corp.
- **DATE OF NAME CHANGE:** 20150128

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Great West Resources, Inc.
- **DATE OF NAME CHANGE:** 20140514

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

## FORM 3/A

### 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>ELLENOFF DOUGLAS<br><sub>(Last) (First) (Middle)</sub><br>C/O NEXTPLAT CORP.<br>3250 MARY ST., SUITE 410<br><sub>(Street)</sub><br>COCONUT GROVE, FL 33133<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2021-08-24 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Business Development_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>NextPlat Corp [ NXPL ] | **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 |
| Common Stock, par value $0.0001 |  |  |  |  |  |  |  | 100000<sup>(1)</sup> | D |  |
| Common Stock, par value $0.0001 |  |  |  |  |  |  |  | 25000 | D |  |

---

## 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 |
| Option to purchase Common Stock, par value $0.0001 | $5.35 |  |  |  |  |  |  | 2021-08-24 | 2026-08-24 | Common Stock | 300000 |  |  | D |  |
| Option to purchase Common Stock, par value $0.0001 | $5.35 |  |  |  |  |  |  | 2022-08-24 | 2026-08-24 | Common Stock | 150000<sup>(3)</sup> |  |  | D |  |
| Option to purchase Common Stock, par value $0.0001 | $5.35 |  |  |  |  |  |  | 2022-08-24 | 2026-08-24<sup>(2)</sup> | Common Stock | 250000<sup>(4)</sup> |  |  | D |  |
| Option to purchase Common Stock, par value $0.0001 | $5.35 |  |  |  |  |  |  | 2023-08-24 | 2026-08-24<sup>(2)</sup> | Common Stock | 150000<sup>(3)</sup> |  |  | D |  |
| Option to purchase Common Stock, par value $0.0001 | $5.35 |  |  |  |  |  |  | 2023-08-24 | 2026-08-24<sup>(2)</sup> | Common Stock | 250000<sup>(4)</sup> |  |  | D |  |
| Option to purchase Common Stock, par value $0.0001 | $5.35 |  |  |  |  |  |  | 2024-08-24 | 2026-08-24<sup>(2)</sup> | Common Stock | 150000<sup>(3)</sup> |  |  | D |  |
| Option to purchase Common Stock, par value $0.0001 | $5.35 |  |  |  |  |  |  | 2024-08-24 | 2026-08-24<sup>(2)</sup> | Common Stock | 250000<sup>(4)</sup> |  |  | D |  |

---

### Footnotes:

(1) Represents 100,000 shares of restricted common stock granted pursuant to that certain Employment Agreement, dated August 24, 2021, by and between the Company and the Reporting Person (the "Employment Agreement") and evidenced by a Restricted Stock Agreement, of which 40,000 shares vested immediately upon issuance on September 9, 2021, with an additional 20,000 shares of restricted stock to be issued and to vest on each of August 24, 2022, August 24, 2023 and August 24, 2024. Vesting conditioned on the Reporting Person serving on the Board of Directors at any time during the year in which the restricted stock is to vest.

(2) The stock options expire on August 24, 2026, five years from the grant date (August 24, 2021). The expiration dates of the stock options reported in this amended Form 3 have been adjusted to reflect the correct expiration date.

(3) Option granted pursuant to the Employment Agreement and evidenced by a Stock Option Agreement. Option will vest subject to the Employment Agreement remaining in full force and effect on the vesting date.

(4) Option granted pursuant to the Employment Agreement and evidenced by a Stock Option Agreement. Option will vest subject to (a) the Employment Agreement remaining in full force and effect on the vesting date, and (b) the satisfaction of certain performance criteria set forth in the Employment Agreement.

**Remarks:**
The original Form 3, filed on September 15, 2021, is being amended by this Form 3 amendment solely to correct the expiration date of certain stock options granted on August 24, 2021.

**Signature:** /s/ Douglas Ellenoff  
**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.**