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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 | ||||||||
Stock Option (4) | $ 2.48 | 04/15/2014 | 04/15/2018 | Common Stock | 25,000 | 3,597,547 | D | ||||||||
Stock Option (4) | $ 2.48 | 06/30/2013 | 06/30/2018 | Common Stock | 1,000,000 | 3,597,547 | D | ||||||||
Stock Option (4) | $ 2.48 | 08/27/2015 | 08/27/2019 | Common Stock | 150,000 | 3,597,547 | D | ||||||||
Stock Option (4) | $ 2.48 | (5) | 08/27/2019 | Common Stock | 500,000 | 3,597,547 | D | ||||||||
Stock Option (4) | $ 2.2 | (6) | 06/08/2020 | Common Stock | 1,459,890 | 3,597,547 | D | ||||||||
Warrant | $ 2.3 | 10/31/2012 | 10/31/2017 | Common Stock (7) | 85,518 | 3,597,547 | D | ||||||||
Warrant | $ 2.3 | 12/31/2012 | 12/31/2017 | Common Stock (7) | 18,939 | 3,597,547 | D | ||||||||
Warrant | $ 2.3 | 03/31/2013 | 03/31/2018 | Common Stock (7) | 22,878 | 3,597,547 | D | ||||||||
Warrant | $ 2.3 | 06/30/2013 | 06/30/2018 | Common Stock (7) | 2,460 | 3,597,547 | D | ||||||||
Warrant | $ 2.3 | 09/30/2013 | 09/30/2018 | Common Stock (7) | 27,561 | 3,597,547 | D | ||||||||
Warrant | $ 2.3 | 12/31/2013 | 12/31/2018 | Common Stock (7) | 36,031 | 3,597,547 | D | ||||||||
Warrant | $ 2.3 | 03/31/2014 | 03/31/2019 | Common Stock (7) | 59,053 | 3,597,547 | D | ||||||||
Warrant | $ 2.3 | 06/30/2014 | 06/30/2019 | Common Stock (7) | 58,834 | 3,597,547 | D | ||||||||
Warrant | $ 2.3 | 09/30/2014 | 09/30/2019 | Common Stock (7) | 31 | 3,597,547 | D | ||||||||
Warrant | $ 2.3 | 12/30/2014 | 12/30/2019 | Common Stock (7) | 40,364 | 3,597,547 | D | ||||||||
Warrant | $ 2 | 12/30/2014 | 12/30/2019 | Common Stock | 10,800 | 3,597,547 | D | ||||||||
Warrant | $ 2 | 03/31/2015 | 03/31/2020 | Common Stock | 24,600 | 3,597,547 | D | ||||||||
Warrant | $ 2 | 06/30/2015 | 06/30/2020 | Common Stock | 43,589 | 3,597,547 | D | ||||||||
Warrant | $ 2 | 09/30/2015 | 09/30/2020 | Common Stock | 28,481 | 3,597,547 | D | ||||||||
Warrant | $ 2 | 12/31/2015 | 12/31/2020 | Common Stock | 3,518 | 3,597,547 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MATHIS SCOTT L 135 5TH AVENUE, 10TH FLOOR NEW YORK, NY 10010 |
X | X | President, CEO, Chair. & Dir. |
/s/Scott L. Mathis | 06/09/2017 | |
**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) | Series B Preferred Shares are automatically convertible to Common Shares at a ratio of 1 Preferred Share to 10 Common Shares upon uplisting to national stock exchange or prior thereto at holder's option. |
(2) | Shares held by Mr. Mathis' 401(k) account. |
(3) | Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member. |
(4) | Options reflected herein are granted pursuant to Options granted pursuant to AWLD's 2008 Equity Incentive Plan. |
(5) | Options to acquire 31,250 vest on November 27, 2014; thereafter options to acquire 31,250 shares vest every three months. |
(6) | Options to acquire 364,974 vest on June 8, 2016; thereafter options to acquire 91,243 shares vest every three months. |
(7) | Warrants to purchase Series A Preferred Stock were automatically converted to common stock on July 14, 2014 on a 1:1 basis pursuant to the effectiveness of AWLD's Form 10 filed with the SEC on May 14, 2014. |