SEC Form 4 · accession 0001161697-17-000316

USBC, Inc. · USBC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Officer — CEO and President · Director

Period of report

Jul 6, 2017

Accepted (ET)

Jul 7, 2017 · 9:00 am EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001074828

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Jul 6, 2017	P	2,000	$0.23	A	20,934	D
Common Stock^F1	holding	—	—		—	3,334	I	.
Common Stock^F2	holding	—	—		—	1,467	I	.
Common Stock^F3	holding	—	—		—	20,336	I	.
Common Stock^F4	holding	—	—		—	110,001	I	.
Common Stock^F5	holding	—	—		—	1,014	I	.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Warrant^F4	$0.15	holding	—	—	—	Jun 14, 2013	Jun 14, 2018	Common Stock	33,333	0	I
Series B Warrant^F4	$0.20	holding	—	—	—	Jun 14, 2013	Jun 14, 2018	Common Stock	33,334	0	I
Option to Purchase Common Stock^F6	$22.50	holding	—	—	—	—	May 9, 2020	Common Stock	13,334	13,334	D
Option to Purchase Common Stock^F7	$19.50	holding	—	—	—	—	Jun 5, 2022	Common Stock	6,667	6,667	D

F1Held by Dia Armenta, the Reporting Person's wife.
F2Held by Ronald Erickson, the Reporting Person and Dia Armenta, the Reporting Person's wife.
F3Held by Juliz Limited Partnership- Family LP.
F4Held by J3E2A2Z Limited Partnership.
F5Held by Cerillion N4, an entity that is 50% owned by Dia Armenta, the Reporting Person's wife.
F6Option shares fully-vested quarterly over 2 years commencing 05/10/2010.
F7Option shares fully-vested quarterly over 1 year commencing 06/05/2012.