SEC Form 3 · accession 0001683168-18-001664
Grom Social Enterprises, Inc. · GRMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Norman Steven Rosenthal
Director
Period of report
Jun 1, 2018
Accepted (ET)
Jun 12, 2018 · 5:45 pm EDT
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 StockF1,F2 | holding | — | — | — | 150,000 | I | See note |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F142,000 of these shares vested immediately. The remaining 108,000 shares vest at the rate of 4,500 shares per month for a period of 24 months.
- F2These shares have been issued in the name of Tempest Systems Inc. Mr. Rosenthal is the Chief Executive Officer of Tempest and the beneficial owner of 100% of these shares.