SEC Form 4 · accession 0001477932-18-000109
COOL TECHNOLOGIES, INC. · WARM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel C Ustian
Director
Period of report
Sep 20, 2017
Accepted (ET)
Jan 8, 2018 · 5:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001399352
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (Right to Buy)F1 | $0.0854 | Sep 20, 2017 | A | 450,000 | A | Sep 20, 2017 | Sep 20, 2022 | Common Stock | 450,000 | 450,000 | D |
Explanation of responses
- F1The Company's board of directors approved the granting of warrants to the reporting person in connection with the Reporting Person's service to the Company.