SEC Form 4 · accession 0001213900-18-008431

Helix TCS, Inc. · HLIX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CEO · Director · 10% Owner

Period of report

Jun 26, 2018

Accepted (ET)

Jun 28, 2018 · 4:27 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001611277

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F2	Jun 26, 2018	S	2,797	$1.46	D	22,661,826	I	As Controlling Manager and Member of Helix Opportunities, LLC
Common Stock	Jun 27, 2018	S	710	$1.45	D	22,661,116	I	As Controlling Manager and Member of Helix Opportunities, LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)^F3	$2.266	holding	—	—	—	—	Feb 15, 2023	Common Stock	40,000	40,000	D
Stock Option (Right to Buy)^F3	$2.266	holding	—	—	—	—	Feb 15, 2028	Common Stock	450,000	450,000	D
Class "A" Convertible Preferred Stock^F4,F5	$0.00	holding	—	—	—	—	—	Common Stock	1,000,000	1,000,000	I

F1The sale was effected pursuant to a Rule 10b5-1 trading plan dated April 13, 2018 executed by Helix Opportunities, LLC .
F2This transaction was executed in multiple trades ranging from $1.40 to $1.49. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
F3Vested in full on April 30, 2018.
F4The Class "A" Convertible Preferred Stock includes super majority voting rights and is convertible into 60% of common stock at any time.
F5The Class "A" Convertible Preferred Stock does not have an expiration date.