SEC Form 5 · accession 0001211524-17-000017
SUNVESTA, INC. · SVSA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Max Roessler
Director · 10% Owner
Period of report
Dec 31, 2016
Accepted (ET)
Mar 16, 2017 · 2:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001060409
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | Nov 28, 2016 | A | 8,000,000 | $0.14 | A | 11,000,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTIONSF1 | $0.05 | Jul 3, 2013 | A | 10,000,000 | A | — | Jul 2, 2023 | COMMON STOCK | 10,000,000 | 10,000,000 | D |
Explanation of responses
- F1DR ROSSLER WAS GRANTED STOCK OPTIONS ON HIS APPOINTMENT AS A DIRECTOR OF THE ISSUER EXERCISABLE IN TWO EQUAL PARTS, 5,000,000 ON THE CLOSING OF A FINANCING TRANSACTION SUFFICIENT TO COMPLETE THE ISSUER'S REAL ESTATE DEVELOPMENT IN COSTA RICA AND 5,000,000 WHEN MANAGEMENT OF SAID COMPLETED DEVELOPMENT IS TRANSFERRED TO A THIRD PARTY MANAGEMENT COMPANY.