SEC Form 4 · accession 0001493152-18-004281
DSS, INC. · DSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph L. Sanders
Director
Period of report
Mar 30, 2018
Accepted (ET)
Mar 30, 2018 · 5:00 pm EDT
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 | Mar 30, 2018 | P | 400,000 | $0.75 | A | 650,033 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1,F2 | $1.00 | Mar 30, 2018 | P | 80,000 | A | Mar 30, 2018 | Mar 30, 2023 | Common Stock | 80,000 | 80,000 | D |
Explanation of responses
- F1Shares of common stock and warrants issued on March 30, 2018 Pursuant to a Securities Purchase Agreement executed on August 30, 2017. The Reporting Person completed the Purchase of the contracted for shares and warrants on March 30, 2018.
- F2The price of the warrants is included in the price of the shares reported on Table I.