SEC Form 3 · accession 0001736749-18-000003

theMaven, Inc. · MVEN

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

Reporting owner

10% Owner

Period of report

Jan 4, 2018

Accepted (ET)

Jun 26, 2018 · 4:59 pm EDT

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^F1	holding	—	—		—	4,471,739	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Stock Purchase Warrant^F2,F3	$1.19	holding	—	—	—	Jun 15, 2018	Jun 15, 2023	Common Stock	1,500,000	—	I

F1As of January 4, 2018, the Mark and Tammy Strome Family Trust (the "Trust") held 3,971,739 shares of common stock, representing 12.2% of the outstanding shares of common stock. On March 30, 2018, the Trust purchased an additional 500,000 shares of common stock, for a total of 4,471,739 shares. On August 24, 2017, the Trust was revoked. The shares of common stock were subsequently awarded to the reporting person pursuant to a Binding Deal Memorandum dated May 23, 2018.
F2The Common Stock Purchase Warrant (the "Warrant") is held by Strome Mezzanine Fund, LP. Strome Investment Management, LP is the general partner of Strome Mezzanine Fund, LP. Strome Group, Inc. is the general partner of Strome Investment Management, LP, and the reporting person is the President and CEO of Strome Group, Inc. The reporting person may be deemed to share voting and dispositive power over the shares of common stock underlying the Warrant held by Strome Mezzanine Fund, LP.
F3Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the reporting person is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.