SEC Form 4 · accession 0001493152-16-011320
SOUPMAN, INC. · SOUP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph William Hagan Sr.
10% Owner
Period of report
Sep 9, 2015
Accepted (ET)
Jul 5, 2016 · 2:27 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 | Sep 9, 2015 | X | 120,000 | D | Dec 26, 2014 | Aug 24, 2016 | Series B Preferred Stock | 8,750,000 | 5,803,560 | I |
| Series B Preferred StockF2,F1 | $0.02 | Sep 9, 2015 | X | 120,000 | A | — | — | Common Stock | 1,200,000 | 2,946,440 | I |
| Series B Preferred Stock Purchase WarrantF2 | $0.20 | Sep 18, 2015 | X | 340,000 | D | Dec 26, 2014 | Aug 24, 2016 | Series B Preferred Stock | 8,700,000 | 5,463,560 | I |
| Series B Preferred StockF2,F1 | $0.02 | Sep 18, 2015 | X | 340,000 | A | — | — | Common Stock | 3,400,000 | 3,286,440 | I |
| Series B Preferred Stock Purchase WarrantF2 | $0.20 | Sep 25, 2015 | X | 670,000 | D | Dec 26, 2014 | Aug 24, 2016 | Series B Preferred Stock | 8,750,000 | 4,793,560 | I |
| Series B Preferred StockF2,F1 | $0.02 | Sep 25, 2015 | X | 670,000 | A | — | — | Common Stock | 6,700,000 | 3,956,440 | 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 Joseph Hagan as a manager of WealthColony Management Group, LLC. Joseph Hagan disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.