SEC Form 4 · accession 0001663577-18-000091
Rocky Mountain High Brands, Inc. · RMHB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Walter Smith
Officer — Chief Operating Officer · Director
Period of report
Jan 24, 2018
Accepted (ET)
Feb 16, 2018 · 11:32 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001670869
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 24, 2018 | A | 2,744,604 | $0.003 | A | 14,709,505 | D | |
| Common Stock | Feb 9, 2018 | A | 3,333,334 | $0.012 | A | 18,042,839 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options | $0.003 | Jan 24, 2018 | X | 3,500,000 | D | Dec 28, 2017 | Dec 31, 2050 | Common Stock | 3,500,000 | 0 | D |
Remarks
The reporting person made a cashless exercise of options to purchase 3,500,000 shares of common stock at an exercise price of $0.003 per share. After deduction of 755,396 shares for payment of the purchase price, a net 2,744,604 shares of common stock were issued. In addition, the reporting person was issued 3,333,334 shares of common stock in payment of $40,000 compensation due and owing.