SEC Form 4/A · accession 0001140361-15-036042

AFTERMASTER, INC. · AFTM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Frank Perrotti Jr.

Director · 10% Owner

Period of report

Mar 1, 2011

Accepted (ET)

Sep 28, 2015 · 9:08 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 Stock^F2	Jul 18, 2014	P	86,580	$0.17	A	7,708,893	D
Common Stock^F3,F1	Oct 8, 2014	P	584,588	$0.25	A	8,293,481	I	(1)
Common Stock^F3,F1	Dec 9, 2014	P	1,234,040	$0.50	A	9,527,521	I	(1)
Common Stock^F3,F1	Feb 12, 2015	P	301,756	$0.52	A	9,829,277	I	(1)
Common Stock^F2	Feb 12, 2015	P	45,558	$0.33	A	9,874,835	D
Common Stock^F3,F1	May 18, 2015	P	304,179	$0.49	A	10,179,014	I	(1)
Common Stock^F2	Jul 9, 2015	P	32,626	$0.46	A	10,211,640	D
Common Stock^F2	Jul 9, 2015	P	33,956	$0.44	A	10,245,596	D
Common Stock^F3,F1	Jul 14, 2015	P	275,483	$0.53	A	10,521,079	I	(1)

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F4,F6,F1	$0.40	Jun 20, 2012	P	31,250	A	Jun 20, 2012	Jun 20, 2017	Common Stock	31,250	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Aug 9, 2012	P	50,000	A	Feb 9, 2013	—	Common Stock	100,000	6	I
Warrant^F4,F6,F1	$0.40	Aug 9, 2012	P	12,500	A	Aug 9, 2012	Aug 9, 2017	Common Stock	12,500	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Sep 10, 2012	P	50,000	A	Mar 10, 2013	—	Common Stock	100,000	6	I
Warrant^F4,F6,F1	$0.40	Sep 10, 2012	P	12,500	A	Sep 10, 2012	Sep 10, 2017	Common Stock	12,500	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Oct 10, 2012	P	100,000	A	Apr 10, 2013	—	Common Stock	200,000	6	I
Warrant^F4,F6,F1	$0.40	Oct 10, 2012	P	25,000	A	Oct 10, 2012	Oct 10, 2017	Common Stock	25,000	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Oct 17, 2012	P	100,000	A	Apr 17, 2013	—	Common Stock	200,000	6	I
Warrant^F4,F6,F1	$0.40	Oct 17, 2012	P	25,000	A	Oct 17, 2012	Oct 17, 2017	Common Stock	25,000	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Oct 25, 2012	P	50,000	A	Apr 25, 2013	—	Common Stock	100,000	6	I
Warrant^F4,F6,F1	$0.40	Oct 25, 2012	P	12,500	A	Oct 25, 2012	Oct 25, 2017	Common Stock	12,500	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Nov 13, 2012	P	75,000	A	May 13, 2013	—	Common Stock	150,000	6	I
Warrant^F4,F6,F1	$0.40	Nov 13, 2012	P	18,750	A	Nov 13, 2012	Nov 13, 2017	Common Stock	18,750	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Nov 23, 2012	P	25,000	A	May 23, 2013	—	Common Stock	50,000	6	I
Warrant^F4,F6,F1	$0.40	Nov 23, 2012	P	6,250	A	Nov 23, 2012	Nov 23, 2017	Common Stock	6,250	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Nov 28, 2012	P	50,000	A	May 28, 2013	—	Common Stock	100,000	6	I
Warrant^F4,F6,F1	$0.40	Nov 28, 2012	P	12,500	A	Nov 28, 2012	Nov 28, 2017	Common Stock	12,500	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Dec 17, 2012	P	50,000	A	Jun 17, 2013	—	Common Stock	100,000	6	I
Warrant^F4,F6,F1	$0.40	Dec 17, 2012	P	12,500	A	Dec 17, 2012	Dec 17, 2017	Common Stock	12,500	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Jan 14, 2013	P	75,000	A	Jul 14, 2013	—	Common Stock	150,000	6	I
Warrant^F4,F6,F1	$0.40	Jan 14, 2013	P	18,750	A	Jan 14, 2013	Jan 14, 2018	Common Stock	18,750	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Jan 23, 2013	P	25,000	A	Jul 23, 2013	—	Common Stock	50,000	6	I
Warrant^F4,F6,F1	$0.40	Jan 23, 2013	P	6,250	A	Jan 23, 2013	Jan 23, 2018	Common Stock	6,250	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Jan 31, 2013	P	35,000	A	Jul 31, 2013	—	Common Stock	70,000	6	I
Warrant^F4,F6,F1	$0.40	Jan 31, 2013	P	8,750	A	Jan 31, 2013	Jan 31, 2018	Common Stock	8,750	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Feb 5, 2013	P	5,000	A	Aug 5, 2013	—	Common Stock	10,000	6	I
Warrant^F4,F6,F1	$0.40	Feb 5, 2013	P	1,250	A	Feb 5, 2013	Feb 5, 2018	Common Stock	1,250	6	I
Convertible Promissory Note^F6,F1,F5	$0.50	Feb 14, 2013	P	10,000	A	Aug 14, 2013	—	Common Stock	20,000	6	I
Warrant^F4,F6,F1	$0.40	Feb 14, 2013	P	2,500	A	Feb 14, 2013	Feb 14, 2018	Common Stock	2,500	6	I

Explanation of responses

F1The beneficial owner is FPJ Investments, LLC ("FPJ"), a single member LLC owned 100% by the reporting person.
F2Issued in connection with services as a Director.
F3Issued in lieu of interest.
F4Issued in connection with a loan by FPJ to Issuer which was evidenced by a promissory note.
F5The promissory notes are exercisable for so long as the notes are outstanding.
F6See remark.

Remarks

(Form 2 of 3) This amended Form 4 amends and restates the original Forms 4 filed by the reporting person on 3/27/12, 06/05/13, 05/28/15, and 07/22/15. This amendment reports convertible promissory notes of the Issuer that were acquired by an entity owned by the reporting person ("FPJ") which were mistakenly omitted on the original Forms 4. As reflected in this amended and restated Form 4 and the amended and restated Form 3 which was filed on September 28, 2015, as of September 28, 2015, FPJ owned 33 convertible promissory notes aggregating $3,925,000, convertible commencing 6-months after issue into an aggregate of 7,975,000 shares of the Issuer's common stock and 44 warrants exercisable for a 5-year period (which period was subsequently extended for certain of the warrants) to purchase an aggregate of 1,486,250 shares of the Issuer's common stock. The promissory notes are secured by certain assets of the Issuer and mature on the 3rd anniversary after the issue date, which maturity date has been extended from time to time, most recently to September 30, 2015. As of the date hereof, the reporting person has not sold any common stock or other securities of the Issuer.