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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) |
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 |
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 | |||
Merida Advisor, LLC 641 LEXINGTON AVENUE 18TH FLOOR NEW YORK, NY 10022 |
X |
MERIDA CAPITAL PARTNERS, LP By:Merida Manager, LLC, its general partner By:/s/ Mitchell Baruchowitz Name:Mitchell Baruchowitz Title: Manager | 06/22/2020 | |
**Signature of Reporting Person | Date | |
MERIDA CAPITAL PARTNERS II LP By:Merida Manager II LLC, its general partner By:/s/ Mitchell Baruchowitz Name: Mitchell Baruchowitz Title: Manager | 06/22/2020 | |
**Signature of Reporting Person | Date | |
MERIDA CAPITAL PARTNERS III LP By:Merida Manager III LLC, its general partner By:/s/ Mitchell Baruchowitz Name:Mitchell Baruchowitz Title:Manager | 06/22/2020 | |
**Signature of Reporting Person | Date | |
MERIDA ADVISOR, LLC By:/s/ Mitchell Baruchowitz Name:Mitchell Baruchowitz Title:Manager | 06/22/2020 | |
**Signature of Reporting Person | Date | |
/s/ Mitchell Baruchowitz MITCHELL BARUCHOWITZ | 06/22/2020 | |
**Signature of Reporting Person | Date |
* | 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) | These securities are owned solely by Merida Capital Partners LP ("MCP I"), who may be deemed to be a member of a "group" with Merida Capital Partners II LP ("MCP II") and Merida Capital Partners III LP ("MCP 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 persons disclaim 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) | Merida Manager, LLC ("Merida GP I"), as the general partner of MCP I, Merida Manager II LLC ("Merida GP II"), as the general partner of MCP II and Merida Manager III LLC ("Merida GP III"), as the general partner of MCP III, may be deemed to be the beneficial owner of the securities held by MCP I, MCP II and MCP III, respectively. Merida Advisor, LLC ("Merida Advisor"), as investment manager, may be deemed to be the beneficial owner of the securities held by MCP I, MCP II and MCP III. Mitchell Baruchowitz, as the manager of Merida Advisor, may be deemed to beneficially own the securities held by Merida Advisor. Pursuant to Rule 16a-1(a)(4) of the Act, the reporting persons disclaim 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. |