SEC Form 4 · accession 0001010412-15-000106
Sundance Strategies, Inc. · SUND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ty D. Mattingly
Director · 10% Owner
Period of report
Apr 5, 2015
Accepted (ET)
Jul 17, 2015 · 11:15 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001171838
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | holding | — | — | — | 4,000,000 | I | Primary Colors, LLC. | |
| Common StockF3 | holding | — | — | — | 1,500,000 | I | North Shore Foundation, LLP. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $0.77 | Apr 5, 2015 | A | 62,500 | A | Apr 5, 2015 | Mar 31, 2018 | Common Stock | 62,500 | 437,500 | D |
| Stock OptionF1 | $0.77 | holding | — | — | — | Apr 5, 2014 | Mar 31, 2018 | Common Stock | 375,000 | 375,000 | D |
Explanation of responses
- F1A total of 500,000 stock options were granted on April 5, 2013, with a five year term, expiring March 31, 2018, and all with an exercise price of $0.77 per share. Of these stock options, 375,000 have vested as of March 31, 2015, with 62,500 stock options vesting on April 5, 2015, and an additional 62,500 stock options vesting April 5, 2016.
- F2Mr. Mattingly is the beneficial owner of Primary Colors, LLC.
- F3Mr. Mattingly is the beneficial owner of North Shore Foundation, LLP.