SEC Form 4 · accession 0001140361-15-022073
AFTERMASTER, INC. · AFTM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Perrotti Jr.
Director · 10% Owner
Period of report
Apr 17, 2012
Accepted (ET)
May 28, 2015 · 3:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000836809
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3,F1 | Jul 3, 2012 | A | 256,595 | $0.44 | A | 754,911 | I | FPJ Investments, LLC |
| Common StockF3,F1 | Sep 11, 2012 | A | 389,263 | $0.25 | A | 1,144,174 | I | FPJ Investments, LLC |
| Common StockF3,F1 | Nov 19, 2012 | A | 396,806 | $0.30 | A | 1,540,980 | I | FPJ Investments, LLC |
| Common StockF2 | Nov 19, 2012 | A | 224,116 | $0.36 | A | 1,765,096 | D | |
| Common StockF2 | Feb 22, 2013 | A | 121,212 | $0.13 | A | 1,886,308 | D | |
| Common StockF3,F1 | Feb 22, 2013 | A | 609,313 | $0.13 | A | 2,495,621 | I | FPJ Investments, LLC |
| Common StockF3,F1 | May 8, 2013 | A | 761,869 | $0.17 | A | 3,257,490 | I | FPJ Investments, LLC |
| Common StockF2 | May 8, 2013 | A | 140,845 | $0.11 | A | 3,398,335 | D | |
| Common StockF2 | Jul 22, 2013 | A | 89,686 | $0.17 | A | 3,533,021 | D | |
| Common StockF3,F1 | Jul 22, 2013 | A | 817,006 | $0.17 | A | 4,350,027 | I | FPJ Investments, LLC |
| Common StockF2 | Oct 22, 2013 | A | 68,259 | $0.22 | A | 4,418,286 | D | |
| Common StockF3,F1 | Oct 22, 2013 | A | 731,871 | $0.10 | A | 5,150,157 | I | FPJ Investments, LLC |
| Common StockF3,F1 | Jan 28, 2014 | A | 739,913 | $0.10 | A | 5,890,070 | I | FPJ Investments, LLC |
| Common StockF2 | Jan 28, 2014 | A | 69,930 | $0.10 | A | 5,960,000 | D | |
| Common StockF2 | Apr 16, 2014 | A | 95,964 | $0.16 | A | 6,055,964 | D | |
| Common StockF3,F1 | Apr 16, 2014 | A | 727,311 | $0.17 | A | 6,783,275 | I | FPJ Investments, LLC |
| Common StockF3,F1 | May 6, 2014 | A | 83,103 | $0.23 | A | 6,866,378 | I | FPJ Investments, LLC |
| Common StockF2 | May 6, 2014 | A | 1,755 | $0.21 | A | 6,868,133 | D | |
| Common StockF3,F1 | Jul 18, 2014 | A | 754,180 | $0.24 | A | 7,622,313 | I | FPJ Investments, LLC |
| Common StockF2 | Jul 18, 2014 | A | 86,580 | $0.17 | A | 7,708,893 | D | |
| Common StockF3,F1 | Oct 8, 2014 | A | 584,588 | $0.25 | A | 8,293,481 | I | FPJ Investments, LLC |
| Common StockF3,F1 | Dec 9, 2014 | A | 1,234,040 | $0.50 | A | 9,527,521 | I | FPJ Investments, LLC |
| Common StockF3,F1 | Feb 12, 2015 | A | 301,756 | $0.52 | A | 9,829,277 | I | FPJ Investments, LLC |
| Common StockF2 | Feb 12, 2015 | A | 45,558 | $0.33 | A | 9,874,835 | D | |
| Common StockF2 | May 4, 2015 | A | 33,956 | $0.44 | A | 9,908,791 | D | |
| Common StockF2 | May 4, 2015 | A | 32,626 | $0.46 | A | 9,941,417 | D | |
| Common StockF3,F1 | May 18, 2015 | A | 304,179 | $0.49 | A | 10,245,596 | I | FPJ Investments, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF1 | $0.40 | Apr 17, 2012 | A | 50,000 | A | Apr 17, 2012 | Apr 17, 2017 | Common Stock | 50,000 | 1,155,000 | I |
| WarrantF1 | $0.40 | May 3, 2012 | A | 37,500 | A | May 3, 2012 | May 3, 2017 | Common Stock | 37,500 | 1,192,500 | I |
| WarrantF1 | $0.40 | Jun 5, 2012 | A | 31,250 | A | Jun 5, 2012 | Jun 5, 2017 | Common Stock | 31,250 | 1,223,750 | I |
| WarrantF1 | $0.40 | Jun 20, 2012 | A | 31,250 | A | Jun 20, 2012 | Jun 20, 2017 | Common Stock | 31,250 | 1,255,000 | I |
| WarrantF1 | $0.40 | Aug 9, 2012 | A | 12,500 | A | Aug 9, 2012 | Aug 9, 2017 | Common Stock | 12,500 | 1,267,500 | I |
| WarrantF1 | $0.40 | Sep 10, 2012 | A | 12,500 | A | Sep 10, 2012 | Sep 10, 2017 | Common Stock | 12,500 | 1,280,000 | I |
| WarrantF1 | $0.40 | Oct 10, 2012 | A | 25,000 | A | Oct 10, 2012 | Oct 10, 2017 | Common Stock | 25,000 | 1,305,000 | I |
| WarrantF1 | $0.40 | Oct 17, 2012 | A | 25,000 | A | Oct 17, 2012 | Oct 17, 2017 | Common Stock | 25,000 | 1,330,000 | I |
| WarrantF1 | $0.40 | Oct 25, 2012 | A | 12,500 | A | Oct 25, 2012 | Oct 25, 2017 | Common Stock | 12,500 | 1,342,500 | I |
| WarrantF1 | $0.40 | Nov 13, 2012 | A | 18,750 | A | Nov 13, 2012 | Nov 13, 2017 | Common Stock | 18,750 | 1,361,250 | I |
| WarrantF1 | $0.40 | Nov 23, 2012 | A | 6,250 | A | Nov 23, 2012 | Nov 23, 2017 | Common Stock | 6,250 | 1,367,500 | I |
| WarrantF1 | $0.40 | Nov 28, 2012 | A | 12,500 | A | Nov 28, 2012 | Nov 28, 2017 | Common Stock | 12,500 | 1,380,000 | I |
| WarrantF1 | $0.40 | Dec 17, 2012 | A | 12,500 | A | Dec 17, 2012 | Dec 17, 2015 | Common Stock | 12,500 | 1,392,500 | I |
| WarrantF1 | $0.40 | Jan 14, 2013 | A | 18,750 | A | Jan 14, 2013 | Jan 14, 2018 | Common Stock | 18,750 | 1,411,250 | I |
| WarrantF1 | $0.40 | Jan 23, 2013 | A | 6,250 | A | Jan 23, 2013 | Jan 23, 2018 | Common Stock | 6,250 | 1,417,500 | I |
| WarrantF1 | $0.40 | Jan 31, 2013 | A | 8,750 | A | Jan 31, 2013 | Jan 31, 2018 | Common Stock | 8,750 | 1,426,250 | I |
| WarrantF1 | $0.40 | Feb 5, 2013 | A | 1,250 | A | Feb 5, 2013 | Feb 5, 2018 | Common Stock | 1,250 | 1,427,500 | I |
| WarrantF1 | $0.40 | Feb 14, 2013 | A | 2,500 | A | Feb 14, 2013 | Feb 14, 2018 | Common Stock | 2,500 | 1,430,000 | I |
| WarrantF1 | $0.40 | Feb 22, 2013 | A | 18,750 | A | Feb 22, 2013 | Feb 22, 2018 | Common Stock | 18,750 | 1,448,750 | I |
| WarrantF1 | $0.40 | Mar 6, 2013 | A | 18,750 | A | Mar 6, 2013 | Mar 6, 2018 | Common Stock | 18,750 | 1,467,500 | I |
| WarrantF1 | $0.40 | Apr 8, 2013 | A | 18,750 | A | Apr 8, 2013 | Apr 8, 2018 | Common Stock | 18,750 | 1,486,250 | I |
Explanation of responses
- F1FPJ Investments LLC - single member 100% owner.
- F2Services as director.
- F3In lieu of interest or as consideration for loans.