SEC Form 5 · accession 0001017386-17-000204
Luvu Brands, Inc. · LUVU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald P Scott
Officer — CFO & Secretary · Director
Period of report
Jun 30, 2017
Accepted (ET)
Sep 19, 2017 · 11:10 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001374567
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 29, 2016 | P | 30,000 | $0.0195 | A | 0 | D | |
| Common Stock | Aug 29, 2016 | P | 10,000 | $0.174 | A | 210,516 | 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 OptionF1 | $16.00 | Dec 3, 2016 | H | 200,000 | D | Dec 3, 2016 | Dec 3, 2016 | Common Stock | 200,000 | 0 | D |
| Common Stock OptionF2 | $0.03 | Feb 13, 2017 | A | 200,000 | A | Feb 13, 2018 | Feb 13, 2022 | Common Stock | 200,000 | 1,100,000 | D |
Explanation of responses
- F1Common stock option expired.
- F2Stock options were granted pursuant to the 2015 Equity Incentive Plan, which is a 16b-3 plan. The options vest in four equal annual increments on the anniversary date, beginning 2/13/2018.