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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | ||||||||
Common Stock Purchase Warrant | $ 0.5 | 11/08/2012 | 11/08/2017 | Common Stock | 100,000 | 0 | D | ||||||||
Common Stock Purchase Warrant | $ 0.6 | 01/03/2006 | 01/03/2013(2) | Common Stock | 2,729,000 | 0 | D | ||||||||
Common Stock Purchase Warrant | $ 0.335 | 01/03/2006 | 01/03/2013(2) | Common Stock | 125,000 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pet Zone Products Ltd. 1801 EAST STREET SUITE 1700 CLEVELAND, OH 44114 |
X |
/s/ Pet Zone Products Ltd. by Charlie MacMillan, Secretary | 10/13/2017 | |
**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 common stock purchase warrants were issued to Pet Zone Products Ltd. in consideration of a $100,000 loan from Pet Zone Products Ltd. to OurPet's Company. Subsequently as of 11-1-16, these warrants were increased to 101,497 due to anti-dilution provisions. |
(2) | These common stock purchase warrants were amended to extend the expiration date to January 3, 2013. |
(3) | These shares were acquired as part of the remuneration Pet Zone Products Ltd. received from the sale of their assets to OurPet's Company on 1-3-2006. Their value was established at $1,052,040 or $.3413/share. |
(4) | These shares were disposed of in connection with the cashless exercise of 101,497 warrants acquired 11-8-12. |