Statement of Changes in Beneficial Ownership (4)
September 10 2020 - 06:08PM
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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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
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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 * VENEGAS ZACHARY
L |
2. Issuer Name and Ticker or Trading
Symbol Helix Technologies, Inc. [ HLIX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director __X__
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chief Executive Officer |
(Last)
(First)
(Middle)
C/O HELIX TCS, INC., 10200 E. GIRARD AVENUE, SUITE
B420 |
3. Date of Earliest Transaction (MM/DD/YYYY)
9/8/2020
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(Street)
DENVER, CO 80231
(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 |
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) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
9/8/2020 |
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S(1) |
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5000 |
D |
$0.11 |
21943152 |
I |
As Controlling Manager and Member of Helix
Opportunities LLC |
Common Stock |
9/9/2020 |
|
S(1) |
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5000 |
D |
$0.107 (2) |
21938152 |
I |
As Controlling Manager and Member of Helix
Opportunities LLC |
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 |
Explanation of
Responses: |
(1) |
The sale was effected
pursuant to a Rule 10b5-1 trading plan dated December 16, 2019,
executed by the Reporting Person. |
(2) |
The sales price reported is
a weighted average price of multiple sales in a range of sale
prices between $0.1051 per share and $0.112496 per share. The
reporting person undertakes to provide to the issuer, any security
holder of the issuer, or the staff of the SEC, upon request, full
information regarding the number of shares sold at each separate
price within this range. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
VENEGAS ZACHARY L
C/O HELIX TCS, INC.
10200 E. GIRARD AVENUE, SUITE B420
DENVER, CO 80231 |
X |
X |
Chief Executive Officer |
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Signatures
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/s/ W. David Mannheim, by Power of
Attorney |
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9/10/2020 |
**Signature of
Reporting Person |
Date |