SEC Form 5 · accession 0001415889-19-000160
Charlie's Holdings, Inc. · CHUC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James J Greco
Director
Period of report
Dec 31, 2018
Accepted (ET)
Feb 13, 2019 · 6:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001134765
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 5, 2018 | A | 5,000,000 | — | A | 5,000,000 | D | |
| Common StockF2,F3 | holding | — | — | — | 333,334 | I | By Pilgrim Holdings, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares reported herein were issued to the Reporting Person in lieu of cash as compensation for services rendered by the Reporting Person to the Issuer from April 2017 to September 2017 in his capacity as Chief Executive Officer.
- F2Shares were issued to Pilgrim Holdings, LLC ("Pilgrim") on February 8, 2017 in exchange for the cancellation of certain warrants held by Pilgrim.
- F3The Reporting Person is the Manager of Pilgrim, and has sole power to vote and dispose of the securities held by Pilgrim.