SEC Form 4 · accession 0001062993-18-003039
COOL TECHNOLOGIES, INC. · WARM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
KHIC LLC
10% Owner
Period of report
Sep 21, 2017
Accepted (ET)
Jul 27, 2018 · 9:31 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 valueF1 | Sep 21, 2017 | S$0 | 1,132,000 | — | D | 4,650,000 | D | |
| Common Stock, $0.001 par valueF2 | Apr 18, 2018 | C | 2,025,000 | $0.025 | A | 6,675,000 | 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 NoteF2 | $0.025 | Apr 8, 2018 | C | 2,025,000 | A | Aug 31, 2016 | Aug 31, 2018 | Common Stock, $.0001 | 2,025,000 | 11,837,914 | D |
Explanation of responses
- F1Represents the sale of Common Stock in sixty five transactions between September 21, 2017 and November 10, 2017 at prices between .067 and .0912667.
- F2Represents the partial conversion of the Senior Convertible Promissory Note by Reporting Person.