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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Caruso Troy Andrew 10 COLONIAL DRIVE SMITHTOWN, NY 11787 |
X |
/s/ Troy Caruso | 09/08-05:00/2020 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Represents shares owned by Radium2 Capital, LLC, of which the Reporting Person indirectly owns 95.38% of. The Reporting Person has the authority to sell, transfer, or vote all shares of Radium2 Capital, LLC. |
(2) | Represents shares owned by Radium Asset Management, LLC, of which the Reporting Person owns 100% of. |
(3) | Represents shares owned by Axe Capital Solutions, Inc., of which the Reporting Person owns 33.33% of. The Reporting Person has the authority to sell, transfer, or vote all shares of Axe Capital Solutions, Inc. |
(4) | Represents shares owned by Troy Caruso, Inc. of which the Reporting Person owns 100% of. |
(5) | Pursuant to the terms of a consulting agreement. |
(6) | Represents shares issued to Radium Asset Management, LLC, of which the Reporting Person owns 100% of, in connection with a Non-Discretionary Advisory Agreement, dated January 15, 2020, as amended on April 13, 2020, entered into between the Issuer and Radium Asset Management, LLC. |
(7) | See fn. 5; Of the 435,559 shares of common stock beneficially owned by the Reporting Person, only 435,550 shares have been issued and 9 shares remained unissued. |
(8) | See VKIN 8K, filed July 14, 2020. |
(9) | Represents shares transferred by Radium2 Capital, LLC, which is controlled by the Reporting Person, to syndicate partners of Radium2 Capital, LLC. |
(10) | Represents shares transferred by Radium2 Capital, LLC, which is controlled by the Reporting Persons, to investors of Radium2 Capital, LLC. |