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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants (Right to Buy) | $ 1 | 08/31/2017 | X | 571,702 | 08/25/2017 | 08/31/2017 | Common Stock | 571,702 | $ 0 | 0 | I | By Tino Hans Schuler Trust (1) (7) | |||
Warrants (Right to Buy) | $ 1 | 08/31/2017 | X | 571,702 | 08/25/2017 | 08/31/2017 | Common Stock | 571,702 | $ 0 | 0 | I | By Tanya Eva Schuler Trust (2) (7) | |||
Warrants (Right to Buy) | $ 1 | 08/31/2017 | X | 571,702 | 08/25/2017 | 08/31/2017 | Common Stock | 571,702 | $ 0 | 0 | I | By Therese Heidi Schuler Trust (3) (7) | |||
Warrants (Right to Buy) | $ 1 | 08/31/2017 | X | 113,332 | 08/25/2017 | 08/31/2017 | Common Stock | 113,332 | $ 0 | 0 | I | By Schuler GC 2010 Continuation Trust (4) (7) | |||
Warrants (Right to Buy) | $ 1 | 08/31/2017 | X | 113,332 | 08/25/2017 | 08/31/2017 | Common Stock | 113,332 | $ 0 | 0 | I | By Schuler Grandchildren LLC (5) (7) | |||
Warrants (Right to Buy) | $ 1.8 | 08/17/2017 | 02/17/2022 | Common Stock | 365,072 | 365,072 | I | By Tino Hans Schuler Trust (1) (7) | |||||||
Warrants (Right to Buy) | $ 1.8 | 08/17/2017 | 02/17/2022 | Common Stock | 365,072 | 365,072 | I | By Tanya Eva Schuler Trust (2) (7) | |||||||
Warrants (Right to Buy) | $ 1.8 | 08/17/2017 | 02/17/2022 | Common Stock | 365,072 | 365,072 | I | By Therese Heidi Schuler Trust (3) (7) | |||||||
Warrants (Right to Buy) | $ 1.8 | 08/17/2017 | 02/17/2022 | Common Stock | 365,072 | 365,072 | I | By Schuler GC 2010 Continuation Trust (4) (7) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Schuler Henri George 100 N. FIELD DRIVE SUITE 360 LAKE FOREST, IL 60045 |
/s/ H. George Schuler | 09/05/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | These Shares of Common Stock ("Shares") and Warrants to acquire Common Stock ("Warrants") are directly owned by the Tino Hans Schuler Trust. H. George Schuler is the sole trustee of the Tino Hans Schuler Trust. |
(2) | These Shares and Warrants are directly owned by the Tanya Eva Schuler Trust. H. George Schuler is the sole trustee of the Tanya Eva Schuler Trust. |
(3) | These Shares and Warrants are directly owned by the Therese Heidi Schuler Trust. H. George Schuler is the sole trustee of the Therese Heidi Schuler Trust. |
(4) | These Shares and Warrants are directly owned by the Schuler GC 2010 Continuation Trust. H. George Schuler is the sole trustee of the Schuler GC 2010 Continuation Trust. |
(5) | These Shares are directly owned by the Schuler Grandchildren LLC. H. George Schuler is the manager of the Schuler Grandchildren LLC. |
(6) | These Shares are directly owned by Seascape Partners L.P., a family limited partnership. H. George Schuler is the manager of Seascape Partners L.P. |
(7) | The reporting person disclaims beneficial ownership of these Shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is the beneficial owner of the Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |