SEC Form 3 · accession 0001171843-17-004522
AZIO AI HOLDINGS, INC. · AZIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin G. Kanning
Officer — VP of IR & Business Dev.
Period of report
Jun 9, 2017
Accepted (ET)
Aug 1, 2017 · 2:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001563568
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 3,930,000 | I | By trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $0.10 | holding | — | — | — | — | Nov 1, 2020 | Common Stock | 2,000,000 | — | D |
| Stock Option (Right to Buy)F3 | $0.10 | holding | — | — | — | — | Jan 1, 2022 | Common Stock | 500,000 | — | D |
Explanation of responses
- F1Consists of 1,800,000 shares of Common Stock held directly by The Entrust Group, Inc. FBO Kevin G. Kanning ROTH IRA, 2,100,000 shares held directly by the Kevin Kanning Living Trust and 30,000 shares held directly by the Eulate Family Trust. Kevin G. Kanning owns 1,800,000 shares through a self-directed Roth IRA, for which he holds no position of control. Kevin G. Kanning owns 2,130,000 shares indirectly in his capacity as trustee of the Kevin Kanning Living Trust and the Eulate Family Trust. Kevin G. Kanning is an officer of the issuer.
- F2The option vests in equal monthly installments of 1/60 of the total number of shares underlying the option beginning on November 1, 2012.
- F3The option vests in equal monthly installments of 1/60 of the total number of shares underlying the option beginning on January 1, 2014.