Initial Statement of Beneficial Ownership (3)
December 31 2019 - 10:01AM
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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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
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1. Name and Address of Reporting Person
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ROSENHECK ROBERT STEVEN |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/31/2019
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3. Issuer Name and Ticker or Trading Symbol
Cronos Group Inc. [CRON]
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(Last)
(First)
(Middle)
720 KING STREET WEST, SUITE 320 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) See Remarks / |
(Street)
TORONTO, A6 M5V 2T3
(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
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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) |
COMMON SHARES | 400677 (1) | D | |
COMMON SHARES | 386365 (2) | I | Held by Mr. Rosenheck's spouse. (3) |
COMMON SHARES | 1997086 | I | Held by Laurel Canyon Associates, LLC (4) |
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 |
Explanation of Responses: |
(1) | Includes 366,486 restricted share units granted on September 5, 2019. The restricted share units vest on the third anniversary of the grant date. |
(2) | Includes 366,486 restricted share units granted on September 5, 2019. The restricted share units vest on the third anniversary of the grant date. |
(3) | Mr. Rosenheck disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that Mr. Rosenheck is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
(4) | Laurel Canyon Associates, LLC is wholly owned by the Rosenheck-Capobianco Family Trust u/t/a dated June 21, 2018 (the "Trust"). Mr. Rosenheck and his spouse are the sole trustees of the Trust. |
Remarks: Chief Executive Officer, Redwood Wellness
Exhibit List: Exhibit 24 - Power of Attorney
This Form 3 is being filed in advance of January 1, 2020, on which date the reporting person will become subject to Section 16 of the Securities Exchange Act of 1934, as amended. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ROSENHECK ROBERT STEVEN 720 KING STREET WEST, SUITE 320 TORONTO, A6 M5V 2T3 |
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| See Remarks |
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Signatures
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/s/ Xiu Ming Shum as Attorney-in-Fact for Robert S. Rosenheck | | 12/31/2019 |
**Signature of Reporting Person | Date |
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