SEC Form 4 · accession 0001225208-18-007927
Cool Holdings, Inc. · AWSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mauricio Diaz
Officer — CEO · Director
Period of report
Mar 12, 2018
Accepted (ET)
Apr 20, 2018 · 6:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001274032
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 12, 2018 | A | 125,014 | $0.00 | A | 125,014 | I | By Bliss Investment Group, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were acquired pursuant to an Agreement and Plan of Merger dated July 25, 2017 (the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the issuer merged with and into Cooltech Holding Corp. ("Cooltech"), which Cooltech survived as a wholly-owned subsidiary of the issuer. Pursuant to the Merger Agreement, shares of Cooltech capital stock outstanding immediately prior to the Merger were cancelled and were automatically converted into the right to receive shares of the issuer's common stock.
- F2The reported person disclaims beneficial ownership of the reported securities exept to the extent of his pecuniary interest therein.