SEC Form 4 · accession 0001477932-18-000338
COOL TECHNOLOGIES, INC. · WARM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald L Bowman
Director
Period of report
Sep 19, 2017
Accepted (ET)
Jan 19, 2018 · 1:54 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF1 | $0.085 | Sep 19, 2017 | A | 200,000 | A | Sep 19, 2017 | Sep 19, 2020 | Common Stock | 200,000 | 200,000 | D |
| Warrant | $0.60 | Mar 14, 2014 | A | 250,000 | A | Mar 14, 2014 | Mar 14, 2019 | Common Stock | 250,000 | 250,000 | D |
Explanation of responses
- F1The reporting person received the three-year warrant to purchase 200,000 shares of Issuer's common stock in consideration of services rendered as a director of the Issuer since August 19, 2015. Such warrant provides for a cashless exercise at 10% above the market price on the day such warrant was issued, which was September 19, 2017.