Statement of Changes in Beneficial Ownership (4)

Date : 12/04/2018 @ 10:02PM
Source : Edgar (US Regulatory)
Stock : Generation Alpha, Inc. (GNAL)
Quote : 0.109348  0.0 (0.00%) @ 1:09PM

Statement of Changes in Beneficial Ownership (4)

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
                                                                                  
OMB APPROVAL
OMB Number: 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
                      

1. Name and Address of Reporting Person *

Davis Tiffany N.
2. Issuer Name and Ticker or Trading Symbol

Generation Alpha, Inc. [ GNAL ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Chief Operating Officer
(Last)          (First)          (Middle)

C/O GENERATION ALPHA, INC.,, 853 SANDHILL AVENUE
3. Date of Earliest Transaction (MM/DD/YYYY)

11/30/2018
(Street)

CARSON, CA 90746
(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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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)
Code V Amount (A) or (D) Price
Common Stock, par value $0.001 per share   11/30/2018     D (1)    250000   D $0.00   (2) 100000   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
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
Stock Option   $0.74   11/30/2018     D   (3)       1344797    8/22/2018   8/22/2023   Common Stock   1344797   $0.00   (4) 0   D    
Stock Option   $0.94   11/30/2018     D   (3)       750000    8/27/2018   8/27/2023   Common Stock   750000   $0.00   (4) 0   D    
Stock Option   $0.69   11/30/2018     A      2344797       11/30/2018   11/30/2023   Common Stock   2344797   $0.00   (5) 2344797   D    

Explanation of Responses:
(1)  The Reporting Person gave back to the Issuer the 250,000 shares of common stock previously granted to her on February 14, 2018 in connection with her initial employment with the Issuer, and the Issuer has issued the Reporting Person, in exchange, options to acquire 250,000 shares of common stock pursuant to the Issuer's 2018 Stock Incentive Plan.
(2)  The shares were given back to the Issuer without payment.
(3)  The Reporting Person gave back to the Issuer the options previously granted to her, and the Issuer has issued the Reporting Person, in exchange, equivalent options pursuant to the Issuer's 2018 Stock Incentive Plan.
(4)  The options were given back to the Issuer without payment.
(5)  The option was granted pursuant to the Issuer's 2018 Stock Incentive Plan.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Davis Tiffany N.
C/O GENERATION ALPHA, INC.,
853 SANDHILL AVENUE
CARSON, CA 90746
X
Chief Operating Officer

Signatures
/s/ TIFFANY DAVIS 12/4/2018
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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.

Generation Alpha, Inc. (USOTC:GNAL)
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