Shum Steve 4
4 · CalEthos, Inc. · Filed Jan 3, 2024
Insider Transaction Report
Form 4
CalEthos, Inc.BUUZ
Shum Steve
Director
Transactions
- Conversion
Common Stock
2023-12-11$0.50/sh+196,010$98,005→ 200,665 total(indirect: See Footnote) - Award
Board of Director Options
2023-11-28$0.00/sh+404,000$404→ 404,000 totalExercise: $0.54From: 2023-12-31Exp: 2028-11-28→ Common Stock (404,000 underlying)
Footnotes (2)
- [F1]These shares were issued to the reporting person by CalEthos, Inc. (the "Issuer") in exchange for a promissory note that was previously issued by the Issuer to the reporting person. Such note was not convertible into securities of the Issuer.
- [F2]The reported securities are owned by Core Fund Management LLC, a limited liability 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. Of the shares reported herein, 196,010 are owned indirectly through the entity.