Major Shareholding Notification • Jan 6, 2024
Major Shareholding Notification
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1/5/24, 4:34 PM Ownership Submission
| FORM 4 | ||
|---|---|---|
| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN 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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| 1.Title of Security | 2. Transaction | 2A. Deemed | 3. Transaction | 4. Securities Acquired | 5. Amount of Securities | 6. | 7. Nature | |||
|---|---|---|---|---|---|---|---|---|---|---|
| (Instr. 3) | Date | Execution Date, if | Code | (A) or Disposed of (D) | Beneficially Owned Following | Ownership | of Indirect | |||
| (Month/Day/Year) | any | (Instr. 8) | (Instr. 3, 4 and 5) | Reported Transaction(s) | Form: | Beneficial | ||||
| (Month/Day/Year) | (Instr. 3 and 4) | Direct (D) | Ownership | |||||||
| or Indirect | (Instr. 4) | |||||||||
| (A) or | (I) | |||||||||
| Code | V | Amount | (D) | Price | (Instr. 4) |
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
| 1/5/24, 4:34 PM |
Ownership | Submission | ||||||
|---|---|---|---|---|---|---|---|---|
| Common Stock | 01/05/2024 | P | 17,000 | A | \$ 0.87 |
19,794,514 | I | See Footnote (1) |
| Common Stock | 01/05/2024 | P | 33,300 | A | \$ 0.91 |
19,827,814 | I | See Footnote (1) |
| Common Stock | 01/05/2024 | P | 100,000 | A | \$ 0.93 |
19,927,814 | I | See Footnote (1) |
| Common Stock | 01/05/2024 | P | 400,000 | A | \$ 0.94 |
20,327,814 | I | See Footnote (1) |
| Common Stock | 89,600 | D | ||||||
| Common Stock | 19,777,514 | I | See Footnote (2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
| 1. Title of | 2. | 3. Transaction | 3A. Deemed | 4. | 5. Number | 6. Date Exercisable | 7. Title and | 8. Price of | 9. Number of | 10. | 11. Nature | ||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Derivative | Conversion | Date | Execution Date, if | Transaction | of | and Expiration Date | Amount of | Derivative | Derivative | Ownership | of Indirect | ||||
| Security | or Exercise | (Month/Day/Year) | any | Code | Derivative | (Month/Day/Year) | Underlying | Security | Securities | Form of | Beneficial | ||||
| (Instr. 3) | Price of | (Month/Day/Year) | (Instr. 8) | Securities | Securities | (Instr. 5) | Beneficially | Derivative | Ownership | ||||||
| Derivative | Acquired | (Instr. 3 and 4) | Owned | Security: | (Instr. 4) | ||||||||||
| Security | (A) or | Following | Direct (D) | ||||||||||||
| Disposed | Reported | or Indirect | |||||||||||||
| of (D) | Transaction(s) | (I) | |||||||||||||
| (Instr. 3, 4, | (Instr. 4) | (Instr. 4) | |||||||||||||
| and 5) | |||||||||||||||
| Amount | |||||||||||||||
| Date | Expiration | or | |||||||||||||
| Exercisable | Date | Title | Number | ||||||||||||
| Code | V | (A) | (D) | of Shares |
1 . Shares held by the ZERHOUNI IRREVOCABLE TRUST for the benefit of the Reporting Person and his children and remoter issue, as well as certain qualifying charitable organizations, and for which an independent trustee has been appointed. The independent trustee has delegated investment authority of the trust to the Reporting Person. The
Reporting Person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
Shares held by the EAZ ZERAZ TRUST for the benefit of the Reporting Person's spouse and children and remoter issue, as well as certain qualifying charitable organizations, and
2 . for which an independent trustee has been appointed. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
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