4//SEC Filing
FONTENOT SEAN PAUL 4
Accession 0001493152-24-000268
CIK 0001174891other
Filed
Jan 2, 7:00 PM ET
Accepted
Jan 3, 3:26 PM ET
Size
15.2 KB
Accession
0001493152-24-000268
Insider Transaction Report
Form 4
CalEthos, Inc.BUUZ
FONTENOT SEAN PAUL
Director10% Owner
Transactions
- Conversion
Series A Stock Purchase Warrant
2023-12-06→ 0 total(indirect: See Footnote)Exercise: $1.87From: 2021-09-15Exp: 2024-08-31→ Common Stock (1,540,000 underlying) - Award
Warrants
2023-11-28$0.00/sh+2,000,000$2,000→ 2,000,000 total(indirect: See Footnote)Exercise: $0.54From: 2023-11-28Exp: 2028-12-31→ Common Stock (2,000,000 underlying) - Conversion
Common Stock
2023-12-11+8,576,438→ 8,576,438 total(indirect: See Footnote) - Conversion
10% OID Convertible Promissory Note
2023-12-06−3,080,000→ 0 total(indirect: See Footnote)Exercise: $1.25From: 2021-09-15Exp: 2022-08-31→ Common Stock (3,080,000 underlying) - Award
Board of Director Options
2023-11-28$0.00/sh+750,000$750→ 2,750,000 totalExercise: $0.54From: 2023-12-31Exp: 2028-11-28→ Common Stock (750,000 underlying)
Footnotes (4)
- [F1]The shares of common stock were received in consideration for the exchange of the outstanding 10% OID Convertible Promissory Note of CalEthos, Inc. (the "Issuer") and the Series A Warrants of the Issuer described in Table II. The Issuer and the reporting person valued those securities in the aggregate at $4,288,219, which resulted in a price per share of $0.50.
- [F2]These shares were issued in exchange for the 10% OID Convertible Promissory Note and the Series A Stock Purchase Warrant listed in Table II.
- [F3]The reported securities are owned by Nanosha Investments LLC, a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.
- [F4]The 10% OID Convertible Promissory Note and the Series A Stock Purchase Warrants were exchanged for the shares of common stock listed in Table I.
Documents
Issuer
CalEthos, Inc.
CIK 0001174891
Entity typeother
Related Parties
1- filerCIK 0001892498
Filing Metadata
- Form type
- 4
- Filed
- Jan 2, 7:00 PM ET
- Accepted
- Jan 3, 3:26 PM ET
- Size
- 15.2 KB