SEC Form 4 · accession 0001683168-18-000153
Grom Social Enterprises, Inc. · GRMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J. Rutherford
Officer — Chairman/CEO/President · 10% Owner
Period of report
Aug 17, 2017
Accepted (ET)
Jan 17, 2018 · 12:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001662574
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 17, 2017 | J | 2,464,474 | $0.00 | A | 2,864,474 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF2 | $0.36 | Aug 17, 2017 | J | 834,000 | A | Mar 21, 2016 | Mar 21, 2021 | Common Stock | 834,000 | 834,000 | D |
Explanation of responses
- F1Reporting Person held shares of common stock and options to purchase shares of common stock in Grom Holdings, Inc., a Delaware corporation, which was acquired by the Issuer on August 17, 2017. The Grom Holdings, Inc. shares and options were exchanged for similar securities of the Issuer on a 4.17 to 1 basis.
- F2Represents original exercise date of options granted by Grom Holdings, Inc., a Delaware corporation, to Reporting Person which was acquired by the Issuer on August 17, 2017. The options were exchanged for similar securities of the Issuer on a 4.17 to 1 basis.