SEC Form 4/A · accession 0001245105-17-000055
Ecoark Holdings, Inc. · ZEST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Gary M. Metzger
Director
Period of report
Feb 28, 2017
Accepted (ET)
Mar 31, 2017 · 12:26 pm EDT
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 2018F1,F2 | $4.15 | Feb 28, 2017 | P | — | A | Feb 28, 2017 | Jun 30, 2018 | Common Stock | 120,482 | — | D |
Explanation of responses
- F1On February 28, 2017, the issuer issued to the reporting person a $500,000 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 $500,000.
- F2The reporting person's Form 4 filed March 28, 2017 (the "Original Report") reported the purchase of a $500,000 principal amount 10% Secured Convertible Promissory (convertible into common stock of the issuer at a conversion price of $4.00 per share) and (ii) a warrant to purchase 50,000 shares of common stock of the issuer for $7.50 per share, for a purchase price of $500,000. This report is being filed to amend the Original Report to (i) report the transaction date as February 28, 2017, (ii) correct the conversion price applicable to the 10% Secured Convertible Promissory and the number of common stock underlying the note and (iii) omit the warrants as the reporting person did not purchase or receive warrants in the reported transaction.