SEC Form 4 · accession 0001102948-18-000002
Celsius Holdings, Inc. · CELH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Desantis
10% Owner
Period of report
Mar 28, 2018
Accepted (ET)
Jun 27, 2018 · 3:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001341766
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 28, 2018 | C | 4,651,163 | $0.86 | A | 15,535,233 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D Convertible Preferred StockF3,F2 | $0.86 | Mar 28, 2018 | C | 4,000 | D | — | Dec 21, 2020 | Common Stock | 4,651,163 | 0 | I |
Explanation of responses
- F1Carl DeSantis owns a beneficial interest of 100% in CD Financial, LLC which is the holder of record of the 4,651,163 shares of common stock. Represents shares of common stock received by CD Financial, LLC upon conversion of shares of Series D Convertible Preferred Stock.
- F2The holder of Series D Convertible Preferred Shares has the right to convert at any time until the applicable expiration date for such shares.
- F3CD Financial, LLC does not hold any shares of Series D Convertible Preferred Stock after the March 28, 2018 conversion.