SEC Form 4 · accession 0001144204-16-132385
theMaven, Inc. · MVEN
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).
Reporting owner
Christopher A Marlett
Director · 10% Owner
Period of report
Nov 4, 2016
Accepted (ET)
Nov 8, 2016 · 3:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000894871
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 11, 2016 | A | 41,667 | $0.15 | A | 2,745,564 | D | |
| Common Stock | Apr 12, 2016 | A | 39,063 | $0.16 | A | 2,784,627 | D | |
| Common Stock | Jul 11, 2016 | A | 39,063 | $0.16 | A | 2,823,690 | D | |
| Common StockF1 | Oct 4, 2016 | A | 31,251 | $0.20 | A | 2,854,941 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant | $0.20 | Nov 4, 2016 | A | 292,402 | A | Nov 4, 2016 | Nov 4, 2021 | Common Stock | 292,402 | 292,402 | D |
| WarrantF2 | $0.20 | Nov 4, 2016 | A | 584,803 | A | Nov 4, 2016 | Nov 4, 2021 | Common Stock | 584,803 | 877,205 | I |
Explanation of responses
- F1Include 827,541 shares held by Christopher A. Marlett Living Trust and 1,027,541 shares held by Christopher A. Marlett IRA.
- F2The record holder of these securities is MDB Capital Group LLC ("MDB"). The reporting person is the Chief Executive Officer of MDB. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be an admission of beneficial ownership of all the reported securities for purposes of Section 16 or any other purposes.