Home/Filings/4/0001019056-19-000078

4//SEC Filing

Navy Capital Green Management LLC 4

Accession 0001019056-19-000078

CIK 0001522222other

View on SEC.gov Company Profile

Filed

Feb 7, 7:00 PM ET

Accepted

Feb 8, 12:57 PM ET

Size

33.7 KB

Accession

0001019056-19-000078

Insider Transaction Report

Form 4

Period: 2018-08-10

CLS Holdings USA, Inc.CLSH

Navy Capital Green Co-Invest Fund, LLC

10% Owner

Transactions

Purchase
Warrants
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)
Exercise: $0.60From: 2018-08-10Exp: 2021-08-10→ Common Stock (6,250,000 underlying)
Purchase
Common Stock
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)

Navy Capital Green Management LLC

10% Owner

Transactions

Purchase
Warrants
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)
Exercise: $0.60From: 2018-08-10Exp: 2021-08-10→ Common Stock (6,250,000 underlying)
Purchase
Common Stock
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)

Navy Capital Green Management Partners LLC

10% OwnerOther

Transactions

Purchase
Common Stock
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)
Purchase
Warrants
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)
Exercise: $0.60From: 2018-08-10Exp: 2021-08-10→ Common Stock (6,250,000 underlying)

Navy Capital Green Co-Invest Partners LLC

10% OwnerOther

Transactions

Purchase
Warrants
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)
Exercise: $0.60From: 2018-08-10Exp: 2021-08-10→ Common Stock (6,250,000 underlying)
Purchase
Common Stock
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)

Navy Capital Green Fund, LP

10% OwnerOther

Transactions

Purchase
Warrants
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)
Exercise: $0.60From: 2018-08-10Exp: 2021-08-10→ Common Stock (6,250,000 underlying)
Purchase
Common Stock
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)

Stiefel Sean

10% Owner

Transactions

Purchase
Warrants
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)
Exercise: $0.60From: 2018-08-10Exp: 2021-08-10→ Common Stock (6,250,000 underlying)
Purchase
Common Stock
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)

Kaden John

10% Owner

Transactions

Purchase
Common Stock
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)
Purchase
Warrants
2018-08-10$0.40/sh+6,250,000$2,500,000→ 13,750,000 total(indirect: See Remark(1) and Footnote)
Exercise: $0.60From: 2018-08-10Exp: 2021-08-10→ Common Stock (6,250,000 underlying)

Footnotes (2)

[F1]The amount of 6,250,000 in Table I reflects the amount of common stock purchased by the Co-Investment Fund in the transaction requiring the filing of this statement. The transaction was a private placement acquisition in which the Co-Investment Fund purchased 6,250,000 units comprised of 6,250,000 shares of Common Stock as well as 6,250,000 Warrants with an exercise price of $0.60 per share of Common Stock. In accordance with Instruction 4(b)(iv) of Form 4, the entire amount of the Issuer's securities held by the Fund and the Co-Investment Fund is reported herein. Footnote(1) continued in Footnote(2).
[F2]Footnote(2) continued from Footnote(1): Each of the Investment Manager, NCG, NCGP, John Kaden and Sean Stiefel disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either the Investment Manager, NCG, NCGP, John Kaden and Sean Stiefel are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

Documents

2 files

Issuer

CLS Holdings USA, Inc.

CIK 0001522222

→

Entity typeother

IncorporatedNY

Related Parties

filerCIK 0001764863

Filing Metadata

Form type: 4
Filed: Feb 7, 7:00 PM ET
Accepted: Feb 8, 12:57 PM ET
Size: 33.7 KB

View on SEC.gov