Initial Statement of Beneficial Ownership (3)
March 30 2023 - 4:07PM
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
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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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McCain Andrew K |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/26/2020
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3. Issuer Name and Ticker or Trading Symbol
CERBERUS CYBER SENTINEL CORP [CISO]
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(Last)
(First)
(Middle)
6900 E. CAMELBACK ROAD,, SUITE 240 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
SCOTTSDALE,, AZ 85251
(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 Stock, par value $0.00001 | 1250000 | I | Hensley & Company (1) |
Common Stock, par value $0.00001 | 375000 | I | Andrew and Lucy McCain Family Trust (2) |
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 |
Stock Option (Right to Buy) | (3) | 4/1/2029 | Common Stock, $0.00001 par value | 200000 | $0.50 | D | |
Stock Option (Right to Buy) | (4) | 5/2/2030 | Common Stock, $0.00001 par value | 200000 | $1.00 | D | |
Explanation of Responses: |
(1) | The Reporting Person is the President and Chief Operating Officer of Hensley & Company. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
(2) | The Reporting Person is the executor of the Andrew and Lucy McCain Family Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
(3) | On April 1, 2019, the Reporting Person was granted stock options (the "2019 Options") exercisable for 200,000 shares of common stock. The 2019 Options are fully vested. |
(4) | On May 2, 2020, the Reporting Person was granted stock options (the "2020 Options") exercisable for 200,000 shares of common stock. The 2020 Options are fully vested. |
Remarks: Exhibit 24 - Power of Attorney. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
McCain Andrew K 6900 E. CAMELBACK ROAD, SUITE 240 SCOTTSDALE,, AZ 85251 | X |
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Signatures
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/s/ Andrew K. McCain | | 3/30/2023 |
**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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