4: Statement of changes in beneficial ownership of securities
Published on December 3, 2020
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
(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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants to Purchase Common Stock | $ 5.7 | 11/30/2020 | P | 52,632 | 11/30/2020 | 11/30/2025 | Common | 52,632 | $ 4.75 (1) | 52,632 | I | By Greenberg Family Trust | |||
Warrants to Purchase Common Stock | $ 6 | 12/07/2018 | 11/30/2022 | Common Stock | 333,333 | 333,333 | I | By Greenberg Family Trust |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GREENBERG ROBERT 228 MANHATTAN BEACH BOULEVARD MANHATTAN BEACH,, CA 90266 |
X | |||
GREENBERG M SUSAN 228 MANHATTAN BEACH BLVD. MANHATTAN BEACH, CA 90266 |
X | |||
GREENBERG FAMILY TRUST 228 MANHATTAN BEACH BLVD. MANHATTAN BEACH, CA 90266 |
X |
Signatures
/s/ Robert Greenberg | 12/01/2020 | |
**Signature of Reporting Person | Date | |
/s/ M Susan Greenberg | 12/01/2020 | |
**Signature of Reporting Person | Date | |
/s/ Robert Greenberg; M Susan Greenberg | 12/01/2020 | |
**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) | The reporting person acquired 52,632 Units, each Unit consisting of one share of Common Stock and a five year warrant at an exercise price of $5.70 per share. The purchase price for a Unit was $4.75 per Unit. |