SEC Form 4 · accession 0001094891-19-000015
Chicken Soup for the Soul Entertainment, Inc. · CSSE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel M Pess
Other
Period of report
Jan 9, 2019
Accepted (ET)
Jan 9, 2019 · 5:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001679063
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Jul 30, 2016 | P | 3,890 | $6.50 | A | 3,890 | 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 (right to buy)F2 | $6.50 | Aug 17, 2017 | A | 100,000 | A | — | Jan 1, 2022 | Class A Common Stock | 100,000 | 100,000 | D |
| Class W Warrants | $7.50 | Jul 30, 2016 | P | 7,225 | A | Aug 17, 2017 | Jun 30, 2021 | Class A Common Stock | 7,225 | 107,225 | D |
| Class Z Warrants | $12.00 | Dec 15, 2016 | P | 1,167 | A | Aug 17, 2017 | Jun 30, 2022 | Class A Common Stock | 1,167 | 108,392 | D |
Explanation of responses
- F1Previously reported; no new securities acquired.
- F2The stock options vest in eight equal quarterly installments beginning on March 31, 2017. All are now exercisable.