SEC Form 4 · accession 0001493152-16-011292
SOUPMAN, INC. · SOUP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Nov 13, 2015
Accepted (ET)
Jul 5, 2016 · 1:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001475273
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred Stock Purchase WarrantF1 | $0.20 | Nov 13, 2015 | X | 544,000 | D | Dec 26, 2014 | Aug 24, 2016 | Series B Preferred Stock | 8,750,000 | 4,249,560 | D |
| Series B Preferred StockF1,F2 | $0.02 | Nov 13, 2015 | X | 544,000 | A | — | — | Common Stock | 5,440,000 | 4,500,440 | D |
| Series B Preferred Stock Purchase WarrantF1 | $0.20 | Dec 10, 2015 | X | 1,220,000 | D | Dec 26, 2014 | Aug 24, 2016 | Series B Preferred Stock | 8,750,000 | 3,029,560 | D |
| Series B Preferred StockF1,F2 | $0.02 | Dec 10, 2015 | X | 1,220,000 | A | — | — | Common Stock | 12,200,000 | 5,720,440 | D |
| Series B Preferred Stock Purchase WarrantF1 | $0.20 | Dec 19, 2015 | X | 655,000 | D | Dec 26, 2014 | Aug 24, 2016 | Series B Preferred Stock | 8,750,000 | 2,374,560 | D |
| Series B Preferred StockF1,F2 | $0.02 | Dec 19, 2015 | X | 655,000 | A | — | — | Common Stock | 6,550,000 | 6,375,440 | D |
Explanation of responses
- F1The reported securities are owned directly by Wealth Colony SPV II, L.P. and indirectly by WealthColony Management Group, LLC, as general partner. WealthColony Management Group, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest thereon. This form has been executed by Jeffrey Freedman, Manager of WealthColony Management Group, LLC, on behalf of WealthColony Management Group, LLC in its capacity as general partner of WealthColony SPV II, L.P. and as a reporting person.
- F2The Series B Convertible Preferred Stock is convertible at any time, at the election of the holder and has no expiration date.