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DSS, INC. — Director's Dealing 2017
Dec 15, 2017
35136_dirs_2017-12-15_ca36e820-079c-435d-bab6-8c0de5ad2a59.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: DOCUMENT SECURITY SYSTEMS INC (DSS)
CIK: 0000771999
Period of Report: 2017-12-13
Reporting Person: Chan Heng Fai Ambrose (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-12-13 | Common Stock | X | 160000 | $1 | Acquired | 960000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-12-13 | Warrant to Purchase Common Stock | $1 | X | 160000 | Disposed | 2022-09-08 | Common Stock (160000) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 500000 | Indirect |
| Common Stock | 683000 | Indirect |
| Common Stock | 2912 | Direct |
Footnotes
F1: Held by Heng Fai Holdings Limited, of which Reporting Person is an Officer and the owner. The Reporting Person has dispositive control over these securities.
F2: Held by BMI Capital Partners International Limited, of which the Reporting Person is a director. The Reporting Person has dispositive control over these securities.
F3: Held by Hengfai Business Development Pte Ltd., of which the Reporting Person is the Chief Executive Officer and owner. The Reporting Person has dispositive control over these securities.