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 |
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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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants | 06/04/2019 | 06/04/2022 | Common Stock | 112,903 | $ 3.5 | I | See Footnote (1) |
Warrants | 06/04/2019 | 06/04/2022 | Common Stock | 96,774 | $ 3.5 | I | See Footnote (2) |
Warrants | 05/09/2018 | 05/09/2021 | Common Stock | 166,667 | $ 0.35 | I | See Footnote (1) |
Common Stock Option | 01/04/2018 | 01/03/2023 | Common Stock | 16,666 | $ 3.35 | D (3) | |
Common Stock Option | 01/04/2019 | 01/03/2023 | Common Stock | 16,667 | $ 3.35 | D (3) | |
Common Stock Option | 01/04/2020 | 01/03/2023 | Common Stock | 16,667 | $ 3.35 | D (3) | |
Common Stock Option | 10/23/2018 | 10/22/2023 | Common Stock | 8,333 | $ 3.59 | D (3) | |
Common Stock Option | 10/23/2019 | 10/22/2023 | Common Stock | 8,333 | $ 3.59 | D (3) | |
Common Stock Option | 10/23/2020 | 10/22/2023 | Common Stock | 8,334 | $ 3.59 | D (3) | |
Common Stock Option | 03/26/2019 | 03/25/2024 | Common Stock | 16,667 | $ 2.96 | D (3) | |
Common Stock Option | 03/26/2020 | 03/25/2024 | Common Stock | 16,667 | $ 2.96 | D (3) | |
Common Stock Option | 03/26/2021 | 03/25/2024 | Common Stock | 16,666 | $ 2.96 | D (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Stiefel Sean 747 THIRD AVENUE, 35TH FLOOR NEW YORK, NY 10017 |
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/s/ Sean Stiefel | 11/25/2019 | |
**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) | Sean Stiefel is a manager and Chief Executive Officer of Navy Capital Green Management, LLC ("NCG") and a manager of Navy Capital Green Management Partners, LLC ("NCGMP") and Navy Capital Green Co-Invest Partner, LLC ("NCGCP") NCGMP is the general partner of Navy Capital Green Fund, LP ("the Fund") NCGMP is the managing member of Navy Capital Green Co-Investment Fund, LLC (the Co-Invest Fund"). NCG is the investment manager of the Fund and the Co-Invest Fund. This amount reflects the amount of securities held by the Fund. |
(2) | This amount reflects the amount of securities held by the Co-Invest Fund |
(3) | This amount reflects the amount of securities held by Sean Stiefel directly. |