Fengate Capital Management Ltd. 4

Accession 0000899243-20-009071

CIK 0001421907other

Filed

Mar 19, 8:00 PM ET

Accepted

Mar 20, 11:45 AM ET

Size

19.9 KB

Accession

0000899243-20-009071

Form 4

Period: 2020-01-09

10% Owner

Transactions

Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 9,501,440 total
Exercise: $0.71From: 2016-09-27Exp: 2020-05-31→ Common Stock (945,640 underlying)
Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 7,038,840 total
Exercise: $0.71From: 2016-09-27Exp: 2020-05-31→ Common Stock (3,445,437 underlying)
Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 1,684,529 total
Exercise: $0.60From: 2017-05-09Exp: 2020-05-31→ Common Stock (8,923,852 underlying)
Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 10,177,329 total
Exercise: $0.60From: 2016-09-27Exp: 2020-05-31→ Common Stock (8,657,074 underlying)
Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 0 total
Exercise: $0.60From: 2018-05-16Exp: 2020-05-31→ Common Stock (2,807,548 underlying)

10% Owner

Transactions

Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 10,177,329 total
Exercise: $0.60From: 2016-09-27Exp: 2020-05-31→ Common Stock (8,657,074 underlying)
Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 9,501,440 total
Exercise: $0.71From: 2016-09-27Exp: 2020-05-31→ Common Stock (945,640 underlying)
Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 1,684,529 total
Exercise: $0.60From: 2017-05-09Exp: 2020-05-31→ Common Stock (8,923,852 underlying)
Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 7,038,840 total
Exercise: $0.71From: 2016-09-27Exp: 2020-05-31→ Common Stock (3,445,437 underlying)
Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 0 total
Exercise: $0.60From: 2018-05-16Exp: 2020-05-31→ Common Stock (2,807,548 underlying)

10% Owner

Transactions

Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 10,177,329 total
Exercise: $0.60From: 2016-09-27Exp: 2020-05-31→ Common Stock (8,657,074 underlying)
Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 9,501,440 total
Exercise: $0.71From: 2016-09-27Exp: 2020-05-31→ Common Stock (945,640 underlying)
Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 7,038,840 total
Exercise: $0.71From: 2016-09-27Exp: 2020-05-31→ Common Stock (3,445,437 underlying)
Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 1,684,529 total
Exercise: $0.60From: 2017-05-09Exp: 2020-05-31→ Common Stock (8,923,852 underlying)
Expiration (Short)
Convertible Promissory Note due May 31, 2020
2020-01-09→ 0 total
Exercise: $0.60From: 2018-05-16Exp: 2020-05-31→ Common Stock (2,807,548 underlying)

Footnotes (4)

[F1]Fengate Trident LP is a private investment limited partnership that may be deemed the direct beneficial owner of the securities referred to herein. Fengate Capital Management Ltd. is the investment manager to and Fengate Trident GP, Inc. is the general partner of Fengate Trident LP. Each of the Reporting Persons disclaims beneficial ownership of the securities referred to herein except to the extent of their pecuniary interest therein.
[F2]The transactions involved the amendment of outstanding convertible notes to change the exercise price from a fixed exercise price to an exercise price based on a floating rate formula. The amendment is reported to reflect a potential deemed cancellation of the existing convertible notes and replacement with new convertible notes, which are not reportable pursuant to Rule 16a-1(c)(6).
[F3]The amount reflects face value of the Convertible Promissory Notes plus accrued interest to the transaction date.
[F4]The Convertible Promissory Notes are subject to accrual of interest such that the number of shares will increase over time.

Documents

1 file

Trident Brands Inc

CIK 0001421907

Entity typeother

IncorporatedNY