SEC Form 3 · accession 0001213900-18-013549
Arista Financial Corp. · ARST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Williams
Director
Period of report
Oct 4, 2018
Accepted (ET)
Oct 4, 2018 · 4:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001498122
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 308,919 | D | ||
| Common Stock | holding | — | — | — | 140,152 | I | By Hawk Opportunity Fund, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants | $2.00 | holding | — | — | — | Dec 14, 2017 | Feb 28, 2023 | Common Stock | 141,914 | — | D |
| Warrants | $2.00 | holding | — | — | — | Dec 14, 2017 | Feb 28, 2023 | Common Stock | 64,384 | — | I |
Remarks
Mr. Williams is a 3.42% limited partner of Hawk Opportunity Fund, L.P. ("Hawk"), but based on his overall control and management of Hawk, the securities owned by Hawk are included herein.