SEC Form 4 · accession 0001615774-16-008102
Beeline Holdings, Inc. · BLNE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Earles
Officer — President · Director · 10% Owner
Period of report
Nov 4, 2016
Accepted (ET)
Nov 8, 2016 · 4:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001534708
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 4, 2016 | C | 123,333 | $1.50 | A | 765,251 | D | |
| Common Stock | Nov 4, 2016 | C | 55,333 | $1.50 | A | 56,474 | I | By spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1,F2 | — | Nov 4, 2016 | A | 16,216 | A | — | — | Common Stock | 16,216 | 16,216 | D |
| Series A Preferred StockF4 | $1.50 | Nov 4, 2016 | C | 185 | D | Apr 4, 2016 | — | Common Stock | 123,333 | 0 | D |
| Series A Preferred StockF4 | $1.50 | Nov 4, 2016 | C | 83 | D | Apr 4, 2016 | — | Common Stock | 55,333 | 0 | I |
| WarrantF5 | $2.00 | Nov 4, 2016 | D | 123,321 | D | Apr 4, 2016 | Apr 4, 2019 | Common Stock | 123,321 | 0 | D |
| WarrantF5 | $2.00 | Nov 4, 2016 | D | 55,328 | D | Apr 4, 2016 | Apr 4, 2019 | Common Stock | 55,328 | 0 | I |
Explanation of responses
- F1Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's common stock upon vesting of the unit.
- F2These RSUs are scheduled to vest in four equal installments with 25% vesting on the grant date and 25% vesting on each of January 1, 2017, April 1, 2017 and July 1, 2017.
- F3The RSUs were issued pursuant to the Issuer's 2016 Equity Incentive Plan.
- F4Not applicable.
- F5The warrants were cancelled and returned to the Issuer.