SEC Form 4/A · accession 0001520138-15-000287
TWINLAB CONSOLIDATED HOLDINGS, INC. · TLCC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Darin Richard Pastor
10% Owner
Period of report
Apr 7, 2015
Accepted (ET)
Jun 17, 2015 · 8:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001590695
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 7, 2015 | S | 131,579 | $0.76 | D | 15,913,665 | I | By corporation |
| Common StockF1 | Apr 7, 2015 | X | 394,737 | $0.76 | A | 16,308,402 | I | By corporation |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Warrant (right to buy) | $0.76 | Apr 7, 2015 | X | 394,737 | D | Oct 1, 2014 | Oct 31, 2017 | Common Stock, par value $0.001 | 394,737 | 51,973,684 | I |
| Third-party call option (right to buy) | $1.00 | Apr 7, 2015 | S | 131,579 | D | Jun 9, 2015 | Jun 9, 2018 | Common Stock, par value $0.001 | 131,579 | 0 | I |
Explanation of responses
- F1In addition, Capstone Financial Group, Inc. exercised third-party call options for at least a further 1,498,500 shares on February 23, 2015, but the optionors of such shares have not yet honored the exercise. When they do, this Form 4 will be amended to reflect the additional shares.
Remarks
All securities reported on this Form 4 are owned directly by Capstone Financial Group, Inc. and indirectly by Darin Richard Pastor, the CEO and majority stockholder of Capstone. Capstone is filing a separate Form 4 to reflect these same transactions.