Statement of Changes in Beneficial Ownership (4)
January 27 2020 - 1:46PM
Edgar (US Regulatory)
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
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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
*
Mills Michael |
2. Issuer Name and Ticker or Trading Symbol
BODY & MIND INC.
[
BAMM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and Interim CEO |
(Last)
(First)
(Middle)
9298 EMERALD DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/23/2020 |
(Street)
WHISTLER, A1 V0N 1B9
(City)
(State)
(Zip)
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4. 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
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities 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 | 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 |
Options to Purchase | $0.88 (1) | 1/23/2020 | | A (2) | | 200000 | | (3) | 1/23/2025 | Common Stock | 200000 | $0.88 (1) | 725000 (4) | D | |
Explanation of Responses: |
(1) | Prices shown reflect Canadian dollars. |
(2) | Granted pursuant to and in accordance with the Company stock incentive plan. |
(3) | The Options become exercisable as to 50,000 on July 23, 2020, 50,000 Options on January 23, 2021, 50,000 Options on July 23, 2021, and 50,000 Options on January 23, 2022. |
(4) | In addition to the options to purchase200,000 shares as disclosed above, the Reporting Person also holds options to purchase 175,000 shares at an exercise price of C$0.41 per share expiring on June 6, 2023, options to purchase 100,000 shares at an exercise price of C$0.57 per share expiring on December 10, 2023, and options to purchase 250,000 shares at an exercise price of C$0.88 per share, subject to vesting provisions, expiring on August 21, 2024. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mills Michael 9298 EMERALD DRIVE WHISTLER, A1 V0N 1B9 | X |
| President and Interim CEO |
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Signatures
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/s/ Michael Mills | | 1/27/2020 |
**Signature of Reporting Person | Date |
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