SEC Form 4 · accession 0001209191-16-088486
Notis Global, Inc. · NGBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
C Douglas Mitchell
Officer — CFO
Period of report
Oct 16, 2014
Accepted (ET)
Jan 5, 2016 · 3:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001547996
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 16, 2014 | A | 7,500 | $0.00 | A | 302,233 | D | |
| Common StockF3,F4 | Nov 20, 2015 | A | 60,763 | $0.00 | A | 362,996 | D | |
| Common Stock | Dec 17, 2015 | P | 159,574 | $0.0188 | A | 522,570 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of restricted stock units ("RSU") pursuant to Issuer's 2014 Equity Incentive Plan, as amended (the "Plan"). Such grant was inadvertently omitted from Reporting Person's prior reports.
- F2The number of shares of Issuer's common stock represented by RSUs granted under the Plan.
- F3Award of shares of common stock pursuant to Issuer's 2014 Equity Incentive Plan, as amended. Such award is part of Reporting Person's bonus compensation for the period July 16, 2015 through September 30, 2015.
- F4Grant effective as of December 15, 2015.