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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 to purchase Common Stock | $ 4.25 | 04/09/2018 | A | 68,150 | 04/09/2018 | 04/09/2023 | Common Stock | 68,150 | (2) | 68,150 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Engel Donald 3284 N 29TH COURT HOLLYWOOD, FL 33020 |
X |
/s/ Donald Engel | 04/25/2018 | |
**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) | Mr. Engel was an advisor to BLNK Holdings, LLC, a shareholder of the issuer controlled by the issuer's Executive Chairman. In connection with Mr. Engel's advisory services to BLNK Holdings, on March 28, 2018, BLNK Holdings transferred 300,000 shares of restricted common stock to Mr. Engel. |
(2) | 68,150 warrants to purchase shares of Common Stock were issued to Mr. Donald Engel, a member of the Company's Board of Directors pursuant to an agreement with the Company. |
(3) | Excludes 6,600 options to purchase Common Stock as previously reported on Mr. Engel's Form 3 filed on February 23, 2018 and 32,858 warrants to purchase Common Stock as previously reported on Mr. Engel's Form 4 on February 27, 2018. |