SEC Form 4 · accession 0001062993-17-002837
COOL TECHNOLOGIES, INC. · WARM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
KHIC LLC
10% Owner
Period of report
Jun 6, 2017
Accepted (ET)
Jun 8, 2017 · 4:14 pm 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 | Jun 6, 2017 | X | 4,000,000 | $0.05 | A | 5,782,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Call Right to Purchase Common StockF1 | $0.05 | Jun 6, 2017 | X | 4,000,000 | A | Dec 8, 2016 | Jun 6, 2017 | Common Stock, $0.001 | 4,000,000 | 19,192,914 | D |
Explanation of responses
- F1Represents exercise of Call Right to purchase Common Stock. The Reporting Person and Company previously entered into an agreement to extend the expiration date for exercise of the Call Right from May 31, 2017 to June 6, 2017. As a result of the exercise of the Call Right, the Reporting Person will also be issued a warrant to purchase 4,000,000 shares of Common Stock at $0.06 with an expiration date five years from date of issuance (as previously described in a Form 4 filed by the Reporting Person on April 13, 2017)