Statement of Changes in Beneficial Ownership (4)
May 04 2020 - 6:07AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
*
Mills Michael |
2. Issuer Name and Ticker or Trading Symbol
BODY & MIND INC.
[
BAMM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and CEO |
(Last)
(First)
(Middle)
9298 EMERALD DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/30/2020 |
(Street)
WHISTLER, A1 V0N 1B9
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Options (right to buy) | $0.67 (1) | 4/30/2020 | | A (2) | | 275000 | | (3) | 4/30/2025 | Common Stock | 275000 | $0 | 1000000 (4) | D | |
Explanation of Responses: |
(1) | Prices shown reflect Canadian dollars. |
(2) | Granted pursuant to and in accordance with the Company stock incentive plan. |
(3) | The Options become exercisable as to 68,750 Options on October 30, 2020, 68,750 Options on April 30, 2021, 68,750 Options on October 30, 2021, and 68,750 Options on April 30, 2022. |
(4) | In addition to the options to purchase 275,000 shares as disclosed above, the Reporting Person also holds options to purchase 175,000 shares at an exercise price of C$0.41 per share expiring on June 6, 2023, options to purchase 100,000 shares at an exercise price of C$0.57 per share expiring on December 10, 2023, options to purchase 250,000 shares at an exercise price of C$0.88 per share, subject to vesting provisions, expiring on August 21, 2024, and options to purchase 200,000 shares at an exercise price of C$0.88 per share, subject to vesting provisions, expiring on January 23, 2025. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mills Michael 9298 EMERALD DRIVE WHISTLER, A1 V0N 1B9 | X |
| President and CEO |
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Signatures
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/s/ Michael Mills | | 5/1/2020 |
**Signature of Reporting Person | Date |
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