Statement of Changes in Beneficial Ownership (4)
19 7월 2016 - 10:49PM
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).
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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
*
DeFeudis Edward C.
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2. Issuer Name
and
Ticker or Trading Symbol
SOURCE FINANCIAL, INC.
[
SRCF
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President, CEO and CFO
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(Last)
(First)
(Middle)
604 ARIZONA AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/30/2016
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(Street)
SANTA MONICA, CA 90401
(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)
___ Form filed by One Reporting Person
_
X
_ 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
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6/30/2016
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6/30/2016
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A
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1429786
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A
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(1)
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1596786
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D
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Common Stock
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6/30/2016
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6/30/2016
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A
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1429786
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A
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(1)
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3026572
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I
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Spider Investments, LLC
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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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Series C Convertible Preferred Stock
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(1)
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6/30/2016
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6/30/2016
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A
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2082
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6/30/2016
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(1)
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Common Stock
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3189208
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(1)
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3189208
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D
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Series C Convertible Preferred Stock
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(1)
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6/30/2016
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6/30/2016
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A
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2082
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6/30/2016
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(1)
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Common Stock
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3189208
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(1)
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6378416
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I
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Spider Investments, LLC
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Explanation of Responses:
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(
1)
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On June 30, 2016, the Company entered into that certain Share Exchange Agreement (the "Share Exchange Agreement") by and among the Company, Venture Track, Inc., a Delaware corporation ("Venture Track") and the shareholders of Venture Track (the "Venture Track Shareholders"). Pursuant to the Share Exchange Agreement, the Company agreed to exchange the outstanding common stock of Venture Track held by the Venture Track Shareholders for 3,089,360 shares of common stock and 4,500 shares of Series C Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), of the Company. The 4,500 shares of Series C Preferred Stock are convertible into 6,893,100 shares of the Company's common stock, at the rate of 1,531.80 per share.
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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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DeFeudis Edward C.
604 ARIZONA AVENUE
SANTA MONICA, CA 90401
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X
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X
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President, CEO and CFO
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Spider Investments, LLC
951 SW 4TH AVE
BOCA RATON, FL 33432
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X
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Signatures
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/s/ Edward C. DeFeudis
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7/19/2016
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**
Signature of Reporting Person
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Date
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/s/ Edward C. DeFeudis on behalf of Spider Investments, LLC
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7/19/2016
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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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