SEC Form 4 · accession 0001213900-18-016712
Helix TCS, Inc. · HLIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Zachary L Venegas
Officer — CEO · Director · 10% Owner
Period of report
Nov 28, 2018
Accepted (ET)
Nov 29, 2018 · 4:10 pm EST
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 | Nov 27, 2018 | S | 1,950 | $1.10 | D | 22,501,891 | I | As Controlling Manager and Member of Helix Opportunities, LLC |
| Common Stock | Nov 28, 2018 | S | 3,289 | $1.01 | D | 22,498,602 | I | As Controlling Manager and Member of Helix Opportunities, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $2.266 | holding | — | — | — | — | Feb 15, 2023 | Common Stock | 40,000 | 40,000 | D |
| Stock Option (Right to Buy)F2 | $2.266 | holding | — | — | — | — | Feb 15, 2028 | Common Stock | 450,000 | 450,000 | D |
| Class "A" Convertible Preferred StockF3,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 1,000,000 | 1,000,000 | I |
Explanation of responses
- F1The sale was effected pursuant to a Rule 10b5-1 trading plan dated April 13, 2018 executed by Helix Opportunities, LLC .
- F2Vested in full on April 30, 2018.
- 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.