SEC Form 4 · accession 0001493152-17-014651
DSS, INC. · DSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Heng Fai Ambrose Chan
Director · 10% Owner
Period of report
Dec 13, 2017
Accepted (ET)
Dec 15, 2017 · 4:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000771999
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 13, 2017 | X | 160,000 | $1.00 | A | 960,000 | I | See Footnote |
| Common StockF2 | holding | — | — | — | 500,000 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 683,000 | I | See Footnote | |
| Common Stock | holding | — | — | — | 2,912 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1 | $1.00 | Dec 13, 2017 | X | 160,000 | D | Sep 8, 2017 | Sep 8, 2022 | Common Stock | 160,000 | 0 | I |
Explanation of responses
- F1Held by Heng Fai Holdings Limited, of which Reporting Person is an Officer and the owner. The Reporting Person has dispositive control over these securities.
- F2Held by BMI Capital Partners International Limited, of which the Reporting Person is a director. The Reporting Person has dispositive control over these securities.
- F3Held by Hengfai Business Development Pte Ltd., of which the Reporting Person is the Chief Executive Officer and owner. The Reporting Person has dispositive control over these securities.