Annual Statement of Changes in Beneficial Ownership (5)
February 18 2020 - 4:59PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0362
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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
*
Strachan Christopher | 2. Issuer Name and Ticker or Trading SymbolDIEGO PELLICER WORLDWIDE, INC [DPWW] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
17772 136TH PL SE | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2019 |
(Street)
MONROE, WA 98272
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 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) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
COMMON STOCK ("Shares") (1) | 12/29/2016 | | A | 5000 | A | (13) | 6418 | I | Held in LLC* |
COMMON STOCK ("Shares") (2) | 9/19/2017 | | A (4) | 43500 | A | (13) | 49918 | I | Held in LLC* |
COMMON STOCK ("Shares") (3) | 12/31/2018 | | A (4) | 1238054 | A | (13) | 1287972 | I | Held in LLC* |
COMMON STOCK ("Shares") (4) | 4/2/2019 | | A (4) | 449191 | A | (13) | 1737163 | I | Held in LLC* |
COMMON STOCK ("Shares") (5) | 7/2/2019 | | A (4) | 1284120 | A | (13) | 3021283 | I | Held in LLC* |
COMMON STOCK ("Shares") (6) | 10/10/2019 | | A (4) | 2348852 | A | (13) | 5370135 | I | Held in LLC* |
COMMON STOCK ("Shares") (7) | 11/12/2019 | | A (4) | 959864 | A | (13) | 6329999 | I | Held in LLC* |
COMMON STOCK ("Shares") (8) | 11/19/2019 | | A (4) | 1900000 | A | (13) | 6329999 | I | Held in LLC* |
COMMON STOCK ("Shares") (9) | 11/19/2019 | | A (4) | 1900000 | A | (13) | 6329999 | I | Held in LLC** |
COMMON STOCK ("Shares") (10) | 12/31/2019 | | A (4) | 2090284 | A | (13) | 8420283 | I | Held in LLC** |
COMMON STOCK ("Shares") (11) | 12/31/2019 | | A (4) | 1121283 | A | (13) | 8420283 | I | Held in LLC** |
COMMON STOCK ("Shares") (12) | 12/31/2019 | | D (4) | 1121283 | D | (13) | 7299000 | I | Held in LLC |
Table II - Derivative Securities Acquired, Disposed of, or 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Reporting Person received these shares as a grant pursuant his Employment Agreement; |
(2) | Reporting Person received these shares as a grant pursuant his Employment Agreement; |
(3) | Reporting Person received these shares as a grant pursuant his Employment Agreement; |
(4) | Reporting Person received these shares as a grant pursuant his Employment Agreement; |
(5) | Reporting Person received these shares as a grant pursuant his Employment Agreement; |
(6) | Reporting Person received these shares as a grant pursuant his Employment Agreement; |
(7) | Reporting Person received these shares as a grant pursuant his Employment Agreement; |
(8) | Reporting Person received these shares as a grant pursuant his Employment Agreement; |
(9) | Reporting Person transferred these shares from RC HeliSport LLC to Strachan & Strachan Associates LLC a Wyoming limited liability company in which he and his spouse have
investment and voting control; |
(10) | Reporting Person received these shares as a grant pursuant his Employment Agreement; |
(11) | Reporting Person received these shares as a grant pursuant his Employment Agreement; |
(12) | Reporting Person gifted these shares to Emerald Transport Services LLC, a non-affiliate, third party. |
(13) | N/A |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Strachan Christopher 17772 136TH PL SE MONROE, WA 98272 | X |
| Chief Executive Officer |
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Signatures
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/s/ Christopher D. Strachan | | 2/15/2020 |
**Signature of Reporting Person | Date |
Diego Pellicer Worldwide (CE) (USOTC:DPWW)
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