UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
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 | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants | 02/06/2017 | 02/05/2022 | Common Stock | 62,500 | $ 2.75 | D (1) | |
Warrants | 02/07/2017 | 02/06/2022 | Common Stock | 187,500 | $ 2.75 | D (1) | |
Warrants | 02/13/2017 | 02/12/2022 | Common Stock | 137,500 | $ 2.75 | D (1) | |
Warrants | 03/10/2017 | 03/09/2022 | Common Stock | 187,500 | $ 2.75 | D (1) | |
Warrants | 04/03/2017 | 04/02/2022 | Common Stock | 150,000 | $ 2.75 | D (1) | |
Warrants | 05/12/2017 | 05/12/2022 | Common Stock | 250,000 | $ 2.75 | D (1) | |
Warrants | 05/24/2019 | 05/23/2022 | Common Stock | 80,645 | $ 3.5 | D (2) | |
Warrants | 05/24/2019 | 05/23/2022 | Common Stock | 241,936 | $ 3.5 | D (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Merida Capital Partners, LP 641 LEXINGTON AVENUE 18TH FLOOR NEW YORK, NY 10022 |
X | |||
Merida Capital Partners II LP 641 LEXINGTON AVENUE 18TH FLOOR NEW YORK, NY 10022 |
X | |||
Merida Capital Partners III LP 641 LEXINGTON AVENUE 18TH FLOOR NEW YORK, NY 10022 |
X |
/s/ Mitchell Baruchowitz, Manager of Merida Manager, LLC, the general partner of Merida Capital Partners, LP | 11/21/2019 | |
**Signature of Reporting Person | Date | |
/s/ Mitchell Baruchowitz, Manager of Merida Manager II LLC, the general partner of Merida Capital Partners II LP | 11/21/2019 | |
**Signature of Reporting Person | Date | |
/s/ Mitchell Baruchowitz, Manager of Merida Manager III LLC, the general partner of Merida Capital Partners III LP | 11/21/2019 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | These securities are owned solely by Merida Capital Partners LP ("Merida I"), who may be deemed to be a member of a "group" with Merida Capital Partners II LP ("Merida II") and Merida Capital Partner s III LP ("Merida III") for purposes of Section 13(d) of the Exchange Act. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Act"), the reporting person disclaims beneficial ownership of any securities reported herein, except to the extent that the reporting person has a pecuniary interest therein. This report shall not be deemed an admission that such reporting person is the beneficial owner of any securities not directly owned by such reporting person. |
(2) | These securities are owned solely by Merida II, who may be deemed to be a member of a "group" with Merida I and Merida III for purposes of Section 13(d) of the Exchange Act. Pursuant to Rule 16a-1(a)(4) under the Act, the reporting person disclaims beneficial ownership of any securities reported herein, except to the extent that the reporting person has a pecuniary interest therein. This report shall not be deemed an admission that such reporting person is the beneficial owner of any securities not directly owned by such reporting person. |
(3) | These securities are owned solely by Merida III, who may be deemed to be a member of a "group" with Merida I and Merida II for purposes of Section 13(d) of the Exchange Act. Pursuant to Rule 16a-1(a)(4) under the Act, the reporting person disclaims beneficial ownership of any securities reported herein, except to the extent that the reporting person has a pecuniary interest therein. This report shall not be deemed an admission that such reporting person is the beneficial owner of any securities not directly owned by such reporting person. |