SEC Form 4 · accession 0001393905-16-001128
GroGenesis, Inc. · GROG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Gerald Platt
Director
Period of report
Dec 1, 2016
Accepted (ET)
Dec 29, 2016 · 1:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001497055
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 1, 2016 | A | 250,000 | — | A | 750,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1,F2 | $0.17 | Dec 1, 2016 | A | 100,000 | A | Dec 1, 2016 | — | Common Stock | 100,000 | 100,000 | D |
| Stock OptionsF1,F2 | $0.17 | Dec 1, 2016 | A | 100,000 | A | Dec 1, 2017 | — | Common Stock | 100,000 | 200,000 | D |
| Stock OptionsF1,F2 | $0.17 | Dec 1, 2016 | A | 100,000 | A | Dec 1, 2018 | — | Common Stock | 100,000 | 300,000 | D |
| Stock OptionsF1,F2 | $0.17 | Dec 1, 2016 | A | 100,000 | A | Dec 1, 2019 | — | Common Stock | 100,000 | 400,000 | D |
| Stock OptionsF1,F2 | $0.17 | Dec 1, 2016 | A | 100,000 | A | Dec 1, 2020 | — | Common Stock | 100,000 | 500,000 | D |
Explanation of responses
- F1Restricted stock award granted and affirmed by the Board of Directors on November 9, 2016 with vesting on December 1, 2016.
- F2As of date of grant, no expiration date has been specified.