Initial Statement of Beneficial Ownership (3)
February 03 2021 - 11:48AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP
OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response... 0.5 |
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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 * Smith Douglas
Baker |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
5/3/2019
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3. Issuer Name and Ticker or Trading
Symbol theMaven, Inc. [MVEN] |
(Last)
(First)
(Middle)
225 LIBERTY STREET, 27TH FLOOR |
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
___X___ Officer (give title
below) _____
Other (specify below)
Chief Financial Officer / |
(Street)
NEW
YORK, NY 10281
(City)
(State)
(Zip)
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5. 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 |
Table I - Non-Derivative Securities Beneficially
Owned
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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) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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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 |
Options to purchase |
3/11/2020 (1) |
2/11/2029 |
Common Stock |
1500000 |
$0.57 |
D |
|
Options to purchase |
12/18/2020 (3) |
4/10/2029 |
Common Stock |
1064008 (2) |
$0.46 |
D |
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Explanation of
Responses: |
(1) |
1/3 vests after 1 year.
Balance vests monthly over next 2 years. |
(2) |
Grant vests 1/3 after first
year. Balance monthly over next 2 years. |
(3) |
The ability to exercise is
subject to both: i) vesting conditions (2) and ii) the Issuer's
stockholders approving a requisite increase in authorized shares of
common stock, after the date the grant was issued, that would apply
to this grant; such requisite increased was approved as of December
18, 2020. |
Reporting
Owners
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Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Smith Douglas Baker
225 LIBERTY STREET, 27TH FLOOR
NEW YORK, NY 10281 |
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|
Chief Financial Officer |
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Signatures
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/s/ Douglas Baker Smith |
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2/3/2021 |
**Signature of
Reporting Person |
Date |