SEC Form 4 · accession 0001062993-17-001979
COOL TECHNOLOGIES, INC. · WARM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
KHIC LLC
10% Owner
Period of report
Apr 18, 2017
Accepted (ET)
Apr 20, 2017 · 7:46 am EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par value | Apr 18, 2017 | C | 1,132,000 | $0.025 | A | 1,782,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Secured Promissory NoteF1 | $0.025 | Apr 18, 2017 | C | 1,132,000 | A | Aug 31, 2016 | Aug 31, 2018 | Common Stock, $0.001 | 1,132,000 | 13,862,914 | D |
Explanation of responses
- F1Represents partial conversion of Senior Convertible Note by Reporting Person.