SHEFTS MARK 4/A
4/A · Alliance MMA, Inc. · Filed Apr 16, 2018
Insider Transaction Report
Form 4/AAmended
SHEFTS MARK
Director
Transactions
- Purchase
Warrant to Purchase Common Stock
2017-08-29Exercise: $1.50From: 2018-03-01Exp: 2020-08-28→ Common Stock, par value $0.001 - Purchase
Common Stock par value $0.001
2017-08-29$200000.00/sh+183,486$36,697,200,000→ 222,374 total - Other
Warrant to Purchase Common Stock
2016-12-21+44,446→ 44,446 totalExercise: $7.43From: 2017-03-02Exp: 2021-09-02→ Common Stock, par value $0.001 (44,446 underlying)
Holdings
- (indirect: See Footnote)
Common Stock par value $0.001
Footnotes (3)
- [F1]In addition to the 222,374 shares of common stock held directly, this also includes 151,389 shares held by the Rushcap Group, Inc., of which Mr. Shefts and his spouse, Wanda Shefts, are the sole stockholders. Mr. Shefts has voting and dispositive power over the shares held by the Rushcap Group, Inc.
- [F2]Warrants allocated to Network 1 Financial Securities, Inc., during the initial public offering that were allocated to Mr. Shefts in conjucntion with initial public offering, prior to Mr. Shefts becoming areporting person.
- [F3]Fully vested warrants were issued in a prior reported purchase on the Form 4 filed on January 26, 2018. The warrants were issued at a rate of one warrant per one share of common stock at a unit price of $1.09 per unit.