Amended Statement of Changes in Beneficial Ownership (4/a)
October 19 2021 - 4:59PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Lee Lindsey |
2. Issuer Name and Ticker or Trading Symbol
GreenBox POS
[
GBOX
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) VP of Legal Affairs |
(Last)
(First)
(Middle)
3131 CAMINO DEL RIO NORTH, SUITE 1400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/18/2019 |
(Street)
SAN DIEGO, CA 92108
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
9/23/2021 |
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 Acquired, Disposed of, or Beneficially Owned
|
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)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock, par value $0.001 | 6/18/2019 | | A | | 120000 | A | $0.10 | 120000 | D | |
Common Stock, par value $0.001 (1) | 11/4/2020 | | M | | 39919 | A | $0.07 | 281073 | D | |
Common Stock, par value $0.001 (2) | 12/28/2020 | | M | | 71394 | A | $1.01 | 332219 | D | |
Common Stock, par value $0.001 | 3/15/2021 (3) | | A | | 194 | A | $12.84 | 42872 | D | |
Common Stock, par value $0.001 | 4/15/2021 | | A | | 247 | A | $10.10 | 43119 | D | |
Common Stock, par value $0.001 | 5/17/2021 | | A | | 271 | A | $9.22 | 43390 | D | |
Common Stock, par value $0.001 | 6/15/2021 | | A | | 172 | A | $14.60 | 45360 | D | |
Common Stock, par value $0.001 | 7/15/2021 | | A | | 241 | A | $10.37 | 45601 | D | |
Common Stock, par value $0.001 | 8/16/2021 | | A | | 323 | A | $7.73 | 45924 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
Stock Options | $0.07 | 6/22/2020 | | A | | 45000 | | 6/22/2020 | 6/22/2025 | Common Stock, par value $0.001 | 45000 | $0.00 | 165000 | D | |
Stock Options | $0.065 | 6/24/2020 | | A | | 76154 | | 12/24/2020 | 6/24/2025 | Common Stock, par value $0.001 | 76154 | $0.00 | 241154 | D | |
Stock Options | $0.07 | 11/4/2020 | | D | | | 45000 | 6/22/2020 | 6/22/2025 | Common Stock, par value $0.001 | 45000 | $0.00 | 236073 | D | |
Stock Options | $1.01 | 12/1/2020 | | A | | 24752 | | 12/1/2020 | 6/1/2026 | Common Stock, par value $0.001 | 24752 | $0.00 | 260825 | D | |
Stock Options | $1.01 | 12/28/2020 | | D | | | 76154 | 12/24/2020 | 6/24/2025 | Common Stock, par value $0.001 | 76154 | $0.00 | 256065 (4) | D | |
Stock Options | $12.10 | 6/2/2021 | | A | | 1798 (5) | | 12/1/2021 | 6/2/2031 | Common Stock, par value $0.001 | 1798 | $0.00 | 45188 | D | |
Explanation of Responses: |
(1) | Ms. Lee did a cashless exercise of her 45,000 stock options. Ms. Lee received 39,919 shares of common stock and surrendered 5,081 shares of common stock underlying the stock option in payment of the exercise price. |
(2) | Ms. Lee did a cashless exercise of her 76,154 stock options. Ms. Lee received 71,394 shares of common stock and surrendered 4,760 shares of common stock underlying the stock option in payment of the exercise price. |
(3) | Ms. Lee earns 2,500 worth of share of Common stock monthly, issuable on the 15th day of each month in the number based on the closing price of our common stock on that date or the next trading day. |
(4) | The Company effected a reverse stock split of 1:6 on February 17, 2021. As a result, Ms. Lee's 231,313 shares of common stock became 38,552 shares of common stock. Additionally, Ms. Lee's 24,752 stock options became 4,125 stock options. |
(5) | This Form 4/A is amending the Form 4 filed on September 23, 2021 to reflect that the amount of stock options granded on 06/02/2021 was amended from 1,178 to 1,798. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lee Lindsey 3131 CAMINO DEL RIO NORTH SUITE 1400 SAN DIEGO, CA 92108 |
|
| VP of Legal Affairs |
|
Signatures
|
/s/ Lindsey Lee | | 10/7/2021 |
**Signature of Reporting Person | Date |
GreenBox POS (NASDAQ:GBOX)
Historical Stock Chart
From Aug 2024 to Sep 2024
GreenBox POS (NASDAQ:GBOX)
Historical Stock Chart
From Sep 2023 to Sep 2024