SEC Form 4 · accession 0001683168-17-000299
Mobiquity Technologies, Inc. · MOBQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M Arnost
Officer — Executive Vice Chairman · Director · 10% Owner
Period of report
Nov 23, 2016
Accepted (ET)
Feb 13, 2017 · 8:10 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001084267
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 23, 2016 | X | 1,400,000 | $0.05 | A | 2,900,002 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock OptionsF1 | $0.60 | Nov 23, 2016 | X | 200,000 | D | Dec 20, 2011 | Dec 20, 2016 | Common Stock | 200,000 | 11,410,001 | D |
| Common Stock OptionsF1 | $0.75 | Nov 23, 2016 | X | 50,000 | D | May 7, 2012 | May 7, 2022 | Common Stock | 50,000 | 11,360,001 | D |
| Common Stock WarrantsF1 | $0.50 | Nov 23, 2016 | X | 166,667 | D | Jan 11, 2013 | Dec 15, 2017 | Common Stock | 166,667 | 11,193,334 | D |
| Common Stock OptionsF1 | $0.25 | Nov 23, 2016 | X | 50,000 | D | Feb 13, 2013 | Feb 13, 2023 | Common Stock | 50,000 | 11,143,334 | D |
| Common Stock WarrantsF1 | $0.50 | Nov 23, 2016 | X | 166,667 | D | May 30, 2013 | Dec 15, 2017 | Common Stock | 166,667 | 10,976,667 | D |
| Common Stock OptionsF1 | $0.40 | Nov 23, 2016 | X | 250,000 | D | Dec 13, 2013 | Dec 13, 2023 | Common Stock | 250,000 | 10,726,667 | D |
| Common Stock WarrantsF1 | $0.50 | Nov 23, 2016 | X | 166,667 | D | Feb 14, 2014 | Dec 15, 2017 | Common Stock | 166,667 | 10,560,000 | D |
| Common Stock OptionsF1 | $0.59 | Nov 23, 2016 | X | 100,000 | D | Mar 1, 2014 | Mar 1, 2024 | Common Stock | 100,000 | 10,460,001 | D |
| Common Stock OptionsF1,F2 | $0.50 | Nov 23, 2016 | X | 250,000 | D | Jul 16, 2014 | Jul 16, 2024 | Common Stock | 250,000 | 10,210,000 | D |
Explanation of responses
- F1Not applicable.
- F2Includes shares issuable upon exercise of notes (1,610,000 shares), options (1,350,000 shares), warrants (500,000) and 6,750,000 shares issuable in the event Mr. Arnost agrees to convert $1,350,000 which Mr. Arnost provided pursuant to a letter of credit.
Remarks
All options/warrants were exercised on November 23, 2016 at a reduced price of $.05 per share.