SEC Form 4 · accession 0001213900-18-014810
Helix TCS, Inc. · HLIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
HELIX OPPORTUNITIES LLC
10% Owner
Period of report
Oct 30, 2018
Accepted (ET)
Nov 1, 2018 · 6:15 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 StockF2 | Oct 30, 2018 | S | 6,714 | $1.02 | D | 22,551,724 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class "A" Convertible Preferred StockF3,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 1,000,000 | 1,000,000 | D |
Explanation of responses
- F1The sale was effected pursuant to a Rule 10b5-1 trading plan dated April 13, 2018 executed by the reporting person.
- F2This transaction was executed in multiple trades ranging from $1.02 to $1.03. 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.
- F3The Class "A" Convertible Preferred Stock includes super majority voting rights and is convertible into 60% of common stock at any time.
- F4The Class "A" Convertible Preferred Stock does not have an expiration date.