UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Contractual Right to Purchase Common Stock | 07/20/2018 | 02/01/2019 | Contractual Right to Purchase Common Stock | 478,854 | $ 4 | I | See footnote (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HOFFMAN Robert Thurston Sr 12870 INTERURBAN AVENUE SOUTH SEATTLE, WA 98168 |
 X |  X |  |  |
/s/ Robert T. Hoffman Sr | 07/30/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Mr. Hoffman is the managing member of GPclirSPV LLC which is the Manager of clirSPV LLC, the owner of the Common Stock and contractual rights to purchase Common Stock. Mr. Hoffman is also the Managing Member of Princeton Opportunity Management, LLC, which has an Investment Management Agreement with clirSPV LLC. Mr. Hoffman disclaims beneficial ownership of these shares and purchase right except to the extent of his pecuniary interest in clirSPV LLC. |