SEC Form 4 · accession 0001493152-16-011307
SOUPMAN, INC. · SOUP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Freedman
10% Owner
Period of report
Nov 13, 2015
Accepted (ET)
Jul 5, 2016 · 2:10 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 WarrantF2 | $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 | I |
| Series B Preferred StockF2,F1 | $0.02 | Nov 13, 2015 | X | 544,000 | A | — | — | Common Stock | 5,440,000 | 4,500,440 | I |
| Series B Preferred Stock Purchase WarrantF2 | $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 | I |
| Series B Preferred StockF2,F1 | $0.02 | Dec 10, 2015 | X | 1,220,000 | A | — | — | Common Stock | 12,200,000 | 5,720,440 | I |
| Series B Preferred Stock Purchase WarrantF2 | $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 | I |
| Series B Preferred StockF2,F1 | $0.02 | Dec 19, 2015 | X | 655,000 | A | — | — | Common Stock | 6,550,000 | 6,375,440 | I |
Explanation of responses
- F1The Series B Convertible Preferred Stock is convertible at any time, at the election of the holder and has no expiration date.
- F2The reported securities are owned directly by WealthColony SPV II, L.P. and indirectly by WealthColony Management Group, LLC as general partner, and Jeffrey Freedman as a manager of WealthColony Management Group, LLC. Jeffrey Freedman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.