SEC Form 4 · accession 0001213900-17-011321
Helios & Matheson Analytics Inc. · HMNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Theodore Farnsworth
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Oct 27, 2017
Accepted (ET)
Nov 3, 2017 · 10:51 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001040792
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 27, 2017 | A | 500,000 | $0.00 | A | 2,490,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11. The Issuer's Board of Directors approved an award of 500,000 unregistered shares of common stock (the "Shares") to the reporting person on August 10, 2017. The grant was subject to (i) stockholder approval and (ii) the consummation of the MoviePass Inc. ("MoviePass") transaction, which has been described in the Issuer's Current Report on Form 8-K filed with the SEC on August 15, 2017. At the Annual and Special Meeting of Stockholders held on October 27, 2017, holders of a majority of the Issuer's outstanding common stock present in person or represented by proxy approved the award of the Shares. As of the date of this filing, the MoviePass transaction has not yet been consummated. If the MoviePass transaction is consummated and the Shares are issued, they will be subject to a lock-up period of 18 months. For more information regarding the Shares, please see the definitive proxy statement filed by the Issuer with the SEC on October 3, 2017.