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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 | ||||||||
Warrants | $ 11.50 | 05/27/2017 | 04/27/2022 | Class A Common Stock | 864,548 | 864,548 | D | ||||||||
8% Series A Cumulative Preferred Stock | (1) | (2) | (1) | Class A Common Stock | 977,652 | 11,243 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
K2 PRINCIPAL FUND, L.P. 2 BLOOR STREET WEST SUITE 801 TORONTO, A6 M4W 3E2 |
X | |||
K2 Genpar 2017 Inc. 2 BLOOR STREET WEST, SUITE 801 TORONTO, A6 M4W 3E2 |
X | |||
Shawn Kimel Investments, Inc. 2 BLOOR STREET WEST SUITE 801 TORONTO, A6 M4W 3E2 |
X | |||
K2 & Associates Investment Management Inc. 2 BLOOR STREET WEST SUITE 801 TORONTO, A6 M4W 3E2 |
X |
/s/ Daniel Gosselin, Secretary | 11/19/2019 | |
**Signature of Reporting Person | Date | |
/s/ Daniel Gosselin, Secretary | 11/19/2019 | |
**Signature of Reporting Person | Date | |
/s/ Daniel Gosselin, Vice President | 11/19/2019 | |
**Signature of Reporting Person | Date | |
/s/ Daniel Gosselin, President | 11/19/2019 | |
**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) | Each share of Series A preferred stock is convertible into 86.9565 shares of class A common stock and there is no expiration |
(2) | The Series A preferred stock is convertible into class A common stock any time |