Annual Statement of Changes in Beneficial Ownership (5)
February 16 2021 - 6:15PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL 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
*
ADLER JASON MARC | 2. Issuer Name and Ticker or Trading SymbolCronos Group Inc. [CRON] |
5. 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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(Last)
(First)
(Middle)
111 PETER STREET, SUITE 300 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2020 |
(Street)
TORONTO, A6 M5V 2H1
(City)
(State)
(Zip)
| 4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
WARRANTS | $0.1929 (1) | 12/16/2020 | | G (2) | | 1250000 | 5/27/2016 | 5/27/2021 | COMMON SHARES | 1250000.0 | $0 | 2737132 | D | |
WARRANTS | $0.1929 (1) | 12/16/2020 | | G (2) | 1250000 | | 5/27/2016 | 5/27/2021 | COMMON SHARES | 1250000.0 | $0 | 1250000 | I | By the Rachel Adler 2020 Gift Trust |
Explanation of Responses: |
(1) | The price reported was converted from the Canadian exercise price of C$0.245 to U.S. dollars using an exchange rate of C$1.00 to US$0.7873 as reported by Bloomberg as of December 16, 2020. |
(2) | This transaction involved a gift of warrants by the reporting person to his spouse, who shares the reporting person's household. On the same day of the transaction being reported on this Form 5, the reporting person's spouse transferred such warrants as a gift to the Rachel Adler 2020 Gift Trust, of which the reporting person is a trustee. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ADLER JASON MARC 111 PETER STREET, SUITE 300 TORONTO, A6 M5V 2H1 | X |
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Signatures
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/s/ Eileen Uy, as attorney-in-fact for Jason M. Adler | | 2/16/2021 |
**Signature of Reporting Person | Date |
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