Statement of Changes in Beneficial Ownership (4)
15 1월 2021 - 1:25AM
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
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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
*
Lugassy Avy |
2. Issuer Name and Ticker or Trading Symbol
MobileSmith, Inc.
[
MOST
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
106 CHEMIN DES HAUTS CRETS, 1253 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/21/2020 |
(Street)
VANDOEUVRES, GENEVA, V8 00000
(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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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 |
Series A Convertible Preferred Shares | (1) | 12/23/2020 | | J (2) | | 433008 | | (3) | (4) | Common Shares | 12990240 | $42.90 | 441164 | I | Reporting Person beneficially owns or controls entities that own the derivative securities |
Series A Convertible Preferred Shares | (1) | 12/21/2020 | | P | | 8156 | | (3) | (4) | Common Shares | 244680 | $42.9 | 8156 | I | Reporting Person beneficially owns or controls entities that own the derivative securities |
Series A Convertible Preferred Shares | (1) | 1/13/2021 | | P | | 10723 | | (3) | (4) | Common Shares | 321690 | $42.9 | 451887 | I | Reporting Person beneficially owns or controls entities that own the derivative securities |
Explanation of Responses: |
(1) | Each share of Series A Convertible Preferred convert into 30 shares of common stock |
(2) | 433,008 shares of Series A Convertible Preferred stock have been issued in exchange of $18,576,007 of face value of debt securities, including accrued interest. Of $18,576,007 in debt exchanged, $17,211,007 was convertible and $1,365,000 was non-convertible. |
(3) | Series A Preferred are convertible at the option of the holder |
(4) | The preferred shares are perpetual |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lugassy Avy 106 CHEMIN DES HAUTS CRETS, 1253 VANDOEUVRES, GENEVA, V8 00000 |
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Signatures
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/s/ Avy Lugassy | | 1/14/2021 |
**Signature of Reporting Person | Date |
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