SEC Form 4/A · accession 0001140361-15-036044

AFTERMASTER, INC. · AFTM

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

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 · 9:11 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000836809

Table I — non-derivative securities

No Table I lines on this filing.

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Convertible Promissory Note^F4,F1,F3	$0.50	Feb 22, 2013	P	50,000	A	Aug 22, 2013	—	Common Stock	100,000	4	I
Warrant^F2,F4,F1	$0.40	Feb 22, 2013	P	18,750	A	Feb 22, 2013	Feb 22, 2018	Common Stock	18,750	4	I
Convertible Promissory Note^F4,F1,F3	$0.50	Mar 6, 2013	P	50,000	A	Sep 6, 2013	—	Common Stock	100,000	4	I
Warrant^F2,F4,F1	$0.40	Mar 6, 2013	P	18,750	A	Mar 6, 2013	Mar 6, 2018	Common Stock	18,750	4	I
Convertible Promissory Note^F4,F1,F3	$0.50	Apr 8, 2013	P	75,000	A	Oct 8, 2013	—	Common Stock	150,000	4	I
Warrant^F2,F4,F1	$0.40	Apr 8, 2013	P	18,750	A	Apr 8, 2013	Apr 8, 2018	Common Stock	18,750	4	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 a loan by FPJ to Issuer which was evidenced by a promissory note.
F3The promissory notes are exercisable for so long as the notes are outstanding.
F4See remark.

Remarks

(Form 3 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.