SEC Form 4 · accession 0001493152-17-003905
CEA Industries Inc. · BNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Brandy Marie Keen
Officer — VP Sales, Secretary · Director · 10% Owner
Stephen Banks Keen
Officer — Director of Technology · Director · 10% Owner
Period of report
Mar 16, 2017
Accepted (ET)
Apr 14, 2017 · 5:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001482541
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 5, 2017 | S | 5,700,000 | $0.1052 | D | 25,984,669 | D | |
| Common StockF1 | Apr 5, 2017 | S | 1,425,000 | $0.1052 | D | 24,559,669 | D | |
| Common StockF1 | Apr 6, 2017 | S | 475,000 | $0.1052 | D | 24,084,669 | D | |
| Common StockF1 | Apr 6, 2017 | S | 3,800,000 | $0.1052 | D | 20,284,669 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F2,F5,F4 | $0.0002 | Mar 16, 2017 | J | 1,544,400 | D | Mar 31, 2014 | Mar 18, 2017 | Common Stock | 1,544,400 | 0 | D |
| Stock Options (Right to Buy)F3,F5,F4 | $0.0002 | Mar 16, 2017 | J | 1,544,400 | D | Mar 31, 2014 | Mar 18, 2017 | Common Stock | 1,544,400 | 0 | D |
Explanation of responses
- F1Shares sold from joint account of the reporting persons.
- F2Options held by Brandy Marie Keen.
- F3Options held by Stephen Banks Keen.
- F4Options transferred in a private transaction. No cash consideration paid.
- F5Represents options under the Safari 2014 Stock Option Plan, which was assumed by the Company.