SEC Form 4 · accession 0001520138-16-001224
Sugarmade, Inc. · SGMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jimmy Chan
Officer — CEO and Director · Director · 10% Owner
Period of report
Nov 7, 2016
Accepted (ET)
Nov 10, 2016 · 4:27 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000919175
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common | Nov 7, 2016 | S | 300,000 | $0.2659 | D | 14,300,000 | D | |
| Common | Nov 8, 2016 | S | 174,944 | $0.3079 | D | 14,125,056 | D | |
| Common | Nov 9, 2016 | S | 61,554 | $0.3251 | D | 14,063,502 | D | |
| CommonF1 | holding | — | — | — | 11,266,667 | I | Held in the name of LMK Capital the holding entity |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Chan is the manager of LMK Capital
Remarks
The filing party, Jimmy Chan ("Chan"), is the CEO and Chairman of Sugarmade, Inc. (the "Company"). Chan is also the manager of LMK Capital, which owns the disclosed shares in the Company. Chan discloses beneficial ownership of the common shares.