Initial Statement of Beneficial Ownership (3)

Date : 09/14/2018 @ 2:11PM
Source : Edgar (US Regulatory)
Stock : Surna Inc. (QB) (SRNA)
Quote : 0.025  0.00025 (1.01%) @ 8:59PM

Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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OMB Number: 3235-0104
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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 *

McDonald Anthony K

2. Date of Event Requiring Statement (MM/DD/YYYY)
9/12/2018 

3. Issuer Name and Ticker or Trading Symbol

Surna Inc. [SRNA]

(Last)        (First)        (Middle)

11934 W. 75TH STREET

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                            _____ 10% Owner
_____ Officer (give title below)          _____ Other (specify below)

(Street)

ARVADA, CO 80005       

(City)              (State)              (Zip)
5. 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 Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock, par value $0.00001 per share   (1) 197368   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units   (1)   (1)   (1) Common Stock   197368   $0.00   (1) D    

Explanation of Responses:
(1)  This filing is being made as a result of the reporting person's appointment as a director of the Issuer on September 12, 2018. On September 12, 2018, in connection with the reporting person's appointment to the the Issuer's Board of Directors (the "Board"), the Board granted the reporting person a total of 394,736 restricted stock units ("RSUs"), which vest as follows: (i) 197,368 on the date of grant and are reflected in Table I above, and (ii) 197,368 on September 12, 2019, subject to his continued service through the vesting date, which are reflected in Table II above. The closing price of the Issuer's common stock as the grant date was $0.152. The grant of the RSUs and the issuance of shares of common stock upon vesting and settlement of the RSUs are transactions exempt from Section 16(b) of the Exchange Act.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
McDonald Anthony K
11934 W. 75TH STREET
ARVADA, CO 80005
X



Signatures
/s/ Anthony K. McDonald 9/14/2018
** 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 5(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.

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