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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 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 | ||||||||
Series A-2 Preferred Stock | (4) | 06/12/2017 | C | 196,666 | (4) | (4) | Common Stock | 140,723 | (5) | 0 | I | By Trust (1) | |||
Series B-1 Preferred Stock | (6) | 06/12/2017 | C | 808,700 | (6) | (6) | Common Stock | 808,700 | (5) | 0 | I | By Trust (1) | |||
Series A-2 Preferred Stock | (4) | 06/12/2017 | C | 100,718 | (4) | (4) | Common Stock | 72,068 | (5) | 0 | I | By Limited Liability Company (2) | |||
Series B-1 Preferred Stock | (6) | 06/12/2017 | C | 871,416 | (6) | (6) | Common Stock | 871,416 | (5) | 0 | I | By Limited Liability Company (2) | |||
Warrant (Right to Buy) | (7) | 06/12/2017 | C | 162,158 | (8) | 07/12/2019 | Common Stock | 162,158 | $ 5.8667 | 162,158 | I | By Trust (1) | |||
Warrant (Right to Buy) | (7) | 06/12/2017 | C | 106,136 | (8) | 02/13/2021 | Common Stock | 106,136 | $ 0.17 | 106,136 | I | By Limited Liability Company (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LAUDER GARY M 40TH FLOOR, 767 FIFTH AVE. NEW YORK, NY 10153 |
X | X | ||
LAUDER GARY M REVOCABLE TRUST UAD 8/10/2000 40TH FLOOR, 767 FIFTH AVE. NEW YORK, NY 10153 |
X | |||
Lauder Partners LLC 40TH FLOOR, 767 FIFTH AVE. NEW YORK, NY 10153 |
X | |||
1992 GRAT REMAINDER TRUST FBO GARY LAUDER 40TH FLOOR, 767 FIFTH AVE. NEW YORK, NY 10153 |
X |
/s/ Gary M. Lauder | 06/12/2017 | |
**Signature of Reporting Person | Date | |
/s/ Gary M. Lauder, Trustee | 06/12/2017 | |
**Signature of Reporting Person | Date | |
/s/ Gary M. Lauder, Managing Member | 06/12/2017 | |
**Signature of Reporting Person | Date | |
/s/ Gary Lauder, Trustee | 06/12/2017 | |
**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) | Shares held directly by The Gary M. Lauder Revocable Trust, of which Gary M. Lauder is a Trustee. |
(2) | Shares held directly by Lauder Partners LLC, of which Gary M. Lauder is the Managing Member. |
(3) | Shares held directly by the 1992 GRAT Remainder Trust FBO Gary Lauder, of which Gary M. Lauder is a Trustee. |
(4) | Each share of Series A-2 Preferred Stock automatically converted into 0.715548 shares of Common Stock upon the closing of the Issuer's initial public offering of Common Stock and has no expiration date. |
(5) | Inapplicable. |
(6) | Each share of Series B-1 Preferred Stock automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering of Common Stock and has no expiration date. |
(7) | Right has converted from right to buy Series B-1 Preferred Stock to a right to buy Common Stock. |
(8) | Immediate. |