SEC Form 4 · accession 0001245105-17-000046
Ecoark Holdings, Inc. · ZEST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Troy D. Richards
Director
Period of report
Feb 28, 2017
Accepted (ET)
Mar 8, 2017 · 5:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001437491
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 10% Convertible Notes due 2017 | $4.15 | Feb 28, 2017 | P | — | A | Feb 28, 2017 | Aug 28, 2018 | Common Stock | 24,096 | — | I |
Explanation of responses
- F1On February 28, 2017, the issuer issued to the reporting person a $100,000 principal amount 10% Secured Convertible Promissory Note (convertible into common stock of the issuer at a conversion price of $4.15 per share) for a purchase price of $100,000.