4//SEC Filing
Schweibold Andrew 4
Accession 0001213900-18-008111
CIK 0001611277other
Filed
Jun 21, 8:00 PM ET
Accepted
Jun 22, 6:17 PM ET
Size
25.1 KB
Accession
0001213900-18-008111
Insider Transaction Report
Form 4
Helix TCS, Inc.HLIX
Schweibold Andrew
Director10% OwnerOther
Transactions
- Award
Common Stock
2018-06-01+10,182,646→ 10,182,646 total(indirect: By LLC) - Award
Common Stock
2018-06-01+1,426,235→ 1,426,235 total(indirect: By LLC)
Holdings
- 13,784,201(indirect: By LLC)
Series B Preferred Stock
Exercise: $0.00→ Common Stock (13,784,201 underlying) - 1,244,444(indirect: By LLC)
Common Stock
Rose Management Group LLC
10% OwnerOther
Transactions
- Award
Common Stock
2018-06-01+1,426,235→ 1,426,235 total(indirect: By LLC) - Award
Common Stock
2018-06-01+10,182,646→ 10,182,646 total(indirect: By LLC)
Holdings
- 1,244,444(indirect: By LLC)
Common Stock
- 13,784,201(indirect: By LLC)
Series B Preferred Stock
Exercise: $0.00→ Common Stock (13,784,201 underlying)
RSF4, LLC
10% OwnerOther
Transactions
- Award
Common Stock
2018-06-01+1,426,235→ 1,426,235 total(indirect: By LLC) - Award
Common Stock
2018-06-01+10,182,646→ 10,182,646 total(indirect: By LLC)
Holdings
- 1,244,444(indirect: By LLC)
Common Stock
- 13,784,201(indirect: By LLC)
Series B Preferred Stock
Exercise: $0.00→ Common Stock (13,784,201 underlying)
RSG5, LLC
10% OwnerOther
Transactions
- Award
Common Stock
2018-06-01+10,182,646→ 10,182,646 total(indirect: By LLC) - Award
Common Stock
2018-06-01+1,426,235→ 1,426,235 total(indirect: By LLC)
Holdings
- 13,784,201(indirect: By LLC)
Series B Preferred Stock
Exercise: $0.00→ Common Stock (13,784,201 underlying) - 1,244,444(indirect: By LLC)
Common Stock
RSF5, LLC
10% OwnerOther
Transactions
- Award
Common Stock
2018-06-01+1,426,235→ 1,426,235 total(indirect: By LLC) - Award
Common Stock
2018-06-01+10,182,646→ 10,182,646 total(indirect: By LLC)
Holdings
- 1,244,444(indirect: By LLC)
Common Stock
- 13,784,201(indirect: By LLC)
Series B Preferred Stock
Exercise: $0.00→ Common Stock (13,784,201 underlying)
Rosenthal Jonathan
10% OwnerOther
Transactions
- Award
Common Stock
2018-06-01+10,182,646→ 10,182,646 total(indirect: By LLC) - Award
Common Stock
2018-06-01+1,426,235→ 1,426,235 total(indirect: By LLC)
Holdings
- 1,244,444(indirect: By LLC)
Common Stock
- 13,784,201(indirect: By LLC)
Series B Preferred Stock
Exercise: $0.00→ Common Stock (13,784,201 underlying)
Rose Capital Fund I GP, LLC
10% OwnerOther
Transactions
- Award
Common Stock
2018-06-01+10,182,646→ 10,182,646 total(indirect: By LLC) - Award
Common Stock
2018-06-01+1,426,235→ 1,426,235 total(indirect: By LLC)
Holdings
- 13,784,201(indirect: By LLC)
Series B Preferred Stock
Exercise: $0.00→ Common Stock (13,784,201 underlying) - 1,244,444(indirect: By LLC)
Common Stock
Footnotes (6)
- [F1]Received in exchange for an aggregate of 751,890 shares of Bio-Tech Software, Inc. ("BioTrackTHC") stock in connection with its merger into Helix Acquisition Sub, Inc., a wholly-owned subsidiary of the Issuer (the "Merger"). Of the 10,182,646 shares issued to the Reporting Person in connection with the Merger, 343,094 shares are currently being held in escrow and are subject to forfeiture during the eighteen-month period following the Merger to satisfy indemnification obligations of the Issuer, if any.
- [F2]The Reporting Person and Jonathan Rosenthal are 50/50 owners of Rose Management Group, LLC which is the manager of RSF5, LLC and RSG5, LLC. The Reporting Person disclaims beneficial ownership of the stock held by RSF5, LLC and RSG5, LLC except to the extent of his pecuniary interest therein.
- [F3]Received in exchange for 146,090 shares of Bio-Tech Software, Inc. ("BioTrackTHC") stock in connection with its merger into Helix Acquisition Sub, Inc., a wholly-owned subsidiary of the Issuer (the "Merger"). Of the 1,426,235 shares issued to the Reporting Person in connection with the Merger, 76,888 shares are currently being held in escrow and are subject to forfeiture during the eighteen-month period following the Merger to satisfy indemnification obligations of the Issuer, if any.
- [F4]The Reporting Person and Jonathan Rosenthal are 50/50 owners of Rose Capital Fund I GP, LLC which is the sole manager of RSF4, LLC. The Reporting Person disclaims beneficial ownership of the stock held by RSF4, LLC except to the extent of his pecuniary interest therein.
- [F5]The Series B Preferred Stock converts to the Issuer's Common Stock on a one-for-one basis.
- [F6]The Series B Preferred Stock is convertible after May 12, 2018.
Documents
Issuer
Helix TCS, Inc.
CIK 0001611277
Entity typeother
Related Parties
1- filerCIK 0001742797
Filing Metadata
- Form type
- 4
- Filed
- Jun 21, 8:00 PM ET
- Accepted
- Jun 22, 6:17 PM ET
- Size
- 25.1 KB