SEC Form 4 · accession 0001437749-17-001100
Helios & Matheson Analytics Inc. · HMNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Muralikrishna Gadiyaram
Director · 10% Owner
Period of report
Jan 22, 2017
Accepted (ET)
Jan 25, 2017 · 4:01 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 | Jan 22, 2017 | A | 250,000 | $0.00 | A | 250,000 | D | |
| Common StockF2 | holding | — | — | — | 1,743,040 | I | See footnote. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Issuer's Board of Directors approved an award of 250,000 unregistered shares of common stock (the "Shares") to the Reporting Person on January 20, 2017. Holders of a majority of the Issuer's outstanding common stock approved the award of the Shares by written consent in lieu of a meeting on January 22, 2017 (the "Shareholder Approval"). The Shareholder Approval is subject to Regulation 14C under the Securities Exchange Act of 1934, as amended ("Regulation 14C"). Pursuant to the conditions of the award, the Issuer has submitted a listing of additional shares notification to The Nasdaq Stock Market LLC ("Nasdaq") covering the Shares. The Shares will not be issued until the later of such time when the Shareholder Approval is effective pursuant to Regulation 14C and such date when Nasdaq approves the listing of additional shares notification.
- F2The securities reported are owned by Helios and Matheson Information Technology Ltd. and its wholly-owned subsidiary, Helios and Matheson Inc. The reporting person is an officer of both entities and a shareholder of Helios and Matheson Information Technology Ltd.