SEC Form 4 · accession 0001213900-17-013157
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
Dec 10, 2017
Accepted (ET)
Dec 12, 2017 · 8:27 pm EST
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 | Dec 10, 2017 | A | 2,053,255 | $0.00 | A | 4,543,255 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On December 10, 2017, the Issuer's Board of Directors approved, and on December 11, 2017 the Issuer and the reporting person entered into, an employment agreement pursuant to which the reporting person was granted an aggregate 2,053,255 shares of the Issuer's common stock. The grants are subject to approval by the Issuer's shareholders to the extent required by the Listing Rules of The Nasdaq Stock Market, including Listing Rule 5635(c). If issued, the shares will vest in their entirety on February 15, 2019. The Issuer anticipates seeking shareholder approval during the first half of 2018.