SEC Form 3 · accession 0001654954-17-010813
Level Brands, Inc. · LEVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark S Elliott
Officer — CFO & COO
Period of report
Nov 16, 2017
Accepted (ET)
Nov 16, 2017 · 4:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001644903
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock, par value $0.001 per shareF1 | holding | — | — | — | 1,680 | I | see footnote | |
| Common stock, par value $0.001 per share | holding | — | — | — | 30,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $4.00 | holding | — | — | — | May 1, 2017 | May 1, 2024 | Common Stock | 50,000 | — | D |
| Stock Option | $4.00 | holding | — | — | — | Jan 1, 2018 | May 1, 2024 | Common Stock | 50,000 | — | D |
| Stock Option | $7.50 | holding | — | — | — | Jan 1, 2018 | May 1, 2024 | Common Stock | 100,000 | — | D |
Explanation of responses
- F1Shares held of record by Mr. Elliott's spouse's retirement account.