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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lacey Kevin Patrick C/O TAURIGA SCIENCES, INC. 39 OLD RIDGEBURY ROAD DANBURY, CT 06180 |
 |  |  Chief Financial Officer |  |
/s/ Kevin P. Lacey | 07/13/2017 | |
**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 Registrant has agreed to issue the Reporting Person 20,000,000 of shares of Common Stock in partial consideration of the Reporting Person's service as the Registrant's Chief Financial Officer. These shares have not been issued as of the date hereof. All 20,000,000 shares of Common Stock will be "restricted securities" as defined by Rule 144 promulgated under the Securities Act of 1933, as amended. |
(2) | These 3,000,000 shares of Common Stock were previously issued to Mariner Consulting Group, Inc. for accounting services previously provided to the Registrant. The Reporting Person is the sole shareholder and has voting control of Mariner Consulting Group, Inc. All 3,000,000 shares of Common Stock are "restricted securities" as defined by Rule 144 promulgated under the Securities Act of 1933, as amended. |