SEC Form 3 · accession 0001214659-17-002108
AFTERMASTER, INC. · AFTM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
David Perrotti
10% Owner
Paula Perrotti
10% Owner
Of Frank Perrotti, Estate Jr.
10% Owner
Period of report
Jan 4, 2017
Accepted (ET)
Mar 21, 2017 · 1:53 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, par value $0.001F1 | holding | — | — | — | 13,330,484 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Aug 23, 2010 | — | Common Stock | 500,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Nov 4, 2010 | — | Common Stock | 500,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Feb 19, 2011 | — | Common Stock | 500,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Jun 28, 2011 | — | Common Stock | 500,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.40 | holding | — | — | — | May 3, 2012 | — | Common Stock | 625,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Jun 2, 2012 | — | Common Stock | 500,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Jun 15, 2012 | — | Common Stock | 200,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Jun 30, 2012 | — | Common Stock | 600,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Aug 3, 2012 | — | Common Stock | 200,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Aug 16, 2012 | — | Common Stock | 200,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Sep 2, 2012 | — | Common Stock | 300,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Sep 16, 2012 | — | Common Stock | 400,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Oct 17, 2012 | — | Common Stock | 400,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Nov 3, 2012 | — | Common Stock | 300,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Dec 5, 2012 | — | Common Stock | 250,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Dec 20, 2012 | — | Common Stock | 250,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Feb 9, 2013 | — | Common Stock | 100,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Mar 10, 2013 | — | Common Stock | 100,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Apr 10, 2013 | — | Common Stock | 200,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Apr 17, 2013 | — | Common Stock | 200,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | Apr 25, 2013 | — | Common Stock | 100,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | May 13, 2013 | — | Common Stock | 150,000 | — | I |
| Convertible Promissory NoteF3,F2 | $0.50 | holding | — | — | — | May 23, 2013 | — | Common Stock | 50,000 | — | I |
Explanation of responses
- F11,397,538 shares of common stock are directly beneficially owned by the Estate of Frank Perrotti, Jr., and indirectly by David Perrotti and Paula Perrotti as Co-Executors of the Estate of Frank Perrotti, Jr. 11,932,946 shares of common stock are indirectly beneficially owned by the Estate of Frank Perrotti, Jr., and by David Perrotti and Paula Perrotti as Co-Executors of the Estate of Frank Perrotti, Jr., through FJP Investments LLC, a single member limited liability company.
- F2The convertible promissory notes are exercisable for so long as they are outstanding.
- F3Indirectly beneficially owned by the Estate of Frank Perrotti, Jr., and by David Perrotti and Paula Perrotti as Co-Executors of the Estate of Frank Perrotti, Jr., through FJP Investments LLC, a single member limited liability company.
Remarks
This Form is Part 1 of 3. Exhibit Index: Exhibit 99.1 - Joint Filer Information (filed herewith)