SEC Form 4 · accession 0001245105-17-000058
Ecoark Holdings, Inc. · ZEST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary M. Metzger
Director
Period of report
Apr 20, 2016
Accepted (ET)
Apr 4, 2017 · 4:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001437491
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 20, 2016 | P | 2,500 | $4.00 | A | 3,677,171 | D | |
| Common StockF2 | Mar 31, 2017 | A | 5,316 | $0.00 | A | 3,682,487 | D | |
| Common Stock | Mar 31, 2017 | C | 120,484 | $4.15 | A | 3,802,971 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1 | $7.50 | Apr 20, 2016 | P | 2,500 | A | Apr 20, 2016 | Dec 31, 2018 | Common Stock | 2,500 | 2,500 | D |
| 10% Convertible Notes due 2018 | $4.15 | Mar 31, 2017 | C | — | D | Feb 28, 2017 | Jun 30, 2018 | Common Stock | 120,484 | 0 | D |
Explanation of responses
- F1On April 20, 2016, the reporting person purchased 2,500 units (each consisting of one share of common stock and one warrant to purchase one share of common stock for $5.00) from the issuer for $4.00 per unit.
- F2Represents the reporting person's quarterly stock grant of unrestricted common stock for service on the issuer's board of directors during the quarter ended March 31, 2017.