Statement of Changes in Beneficial Ownership (4)
September 06 2019 - 3:30PM
Edgar (US Regulatory)
FORM 4
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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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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
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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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ZEN Wei Peu |
2. Issuer Name and Ticker or Trading Symbol
Emmaus Life Sciences, Inc.
[
EMMA
]
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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)
21250 HAWTHORNE BLVD., SUITE 800 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/4/2019
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(Street)
TORRANCE, CA 90503
(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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Common stock, $0.001 par value
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9/4/2019
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P
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12892
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A
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$3.70
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282763
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I
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By Smart Start Investments Limited (1)
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Common stock, $0.001 par value
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9/5/2019
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P
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20000
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A
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$3.90
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302763
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I
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By Smart Start Investments Limited
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Common stock, $0.001 par value
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9/5/2019
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P
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20000
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A
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$4.00
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322763
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I
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By Smart Start Investments Limited
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Common stock, $0.001 par value
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1007833
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D
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Common stock, $0.001 par value
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1270214
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I
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By Profit Preview International Group Limited (2)
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Common stock, $0.001 par value
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350048
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I
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By Wealth Threshold Co. Ltd. (3)
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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Smart Start Investments Limited is a Hong Kong limited company and wholly owned subsidiary of Build King Holdings Limited, a Hong Kong stock exchange listed company of which the Reporting Person is a director and 9.93% shareholder. The Reporting Person also is a director of Smart Start Investments Limited. The Reporting Person disclaims beneficial ownership of the shares shown except to the extent of his pecuniary interest therein. The inclusion in this Report of such shares shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.
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(2)
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Profit Preview International Group Limited is a Hong Kong limited company wholly owned by the Reporting Person and of which the Reporting Person is a director.
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(3)
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Wealth Threshold Limited is a British Virgin Islands limited company and wholly owned subsidiary of Wai Kee Holdings Limited, a Hong Kong stock exchange listed company of which the Reporting Person is a director and 24.71% shareholder. The Reporting Person disclaims beneficial ownership of the shares shown except to the extent of his pecuniary interest therein. The inclusion in this Report of such shares shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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ZEN Wei Peu 21250 HAWTHORNE BLVD., SUITE 800 TORRANCE, CA 90503
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X
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Signatures
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Wei Peu Zen
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9/6/2019
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**Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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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