SEC Form 4 · accession 0001019687-16-005388
COOL TECHNOLOGIES, INC. · WARM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Spirit Bear Ltd
10% Owner
Period of report
Mar 2, 2016
Accepted (ET)
Mar 7, 2016 · 9:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001399352
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Cool Technologies Common StockF1,F4 | Mar 2, 2016 | J | 700,000 | — | A | 700,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF4,F2,F3 | — | Mar 2, 2016 | C | 14 | D | Dec 14, 2012 | — | Common Stock | 700,000 | 122 | D |
| Series A Preferred StockF4,F2,F3 | — | Mar 2, 2016 | J | 3 | D | Dec 14, 2012 | — | Common Stock | 150,000 | 119 | D |
Explanation of responses
- F1The Reporting Person converted 14 shares of its Series A Preferred Stock into Common Stock.
- F2Each share of of Series A Preferred Stock is convertible into 50,000 shares of Common Stock,
- F3There is no expiration date.
- F4Not applicable.
- F5Assignment to an unrelated third party.