UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | 09/01/2019 | 08/31/2026 | Common Stock | 87,415 (1) | $ 5.57 (2) | I | By Molino Ventures, LLC |
Stock Option (right to buy) | (3) | 08/31/2026 | Common Stock | 43,707 (1) | $ 5.57 (2) | I | By Molino Ventures, LLC |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BERMAN DENNIS N 3350 RIVERWOOD PARKWAY SE, SUITE 1900 ATLANTA, GA 30339 |
X |
/s/ Milton H. Werner, attorney-in-fact | 12/22/2020 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The number of shares has been adjusted to reflect a one-for-1.14396 reverse stock split of the Issuer's common stock effected on August 24, 2020 (the "Reverse Split") and excludes fractional shares resulting from the Reverse Split, which shall be paid in cash upon exercise. |
(2) | The exercise price has been adjusted to reflect the Reverse Split. |
(3) | The option vests in twenty-four equal monthly installments beginning on September 1, 2019. |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |