SUGARMADE, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 3 rows, 3 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-10-31: Reporting owner TAN CHENLONG; Form 4; Security Class B Convertible Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-10-31: Reporting owner HUANG ALLAN JAMES; Form 4; Security Class B Convertible Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-10-31: Reporting owner CHAN JIMMY; Form 4; Security Class B Convertible Preferred; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-10-31 | TAN CHENLONG Officer (Chief Strategy Officer) | 4 | Class B Convertible Preferred Stock Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +294,448 294,448 owned after | $9.19 | 2020-01-07 | |
| 2019-10-31 | HUANG ALLAN JAMES | 4 | Class B Convertible Preferred Stock Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +294,448 294,448 owned after | $9.19 | 2020-01-07 | |
| 2019-10-31 | CHAN JIMMY Officer (CEO) | 4 | Class B Convertible Preferred Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +373,500 373,500 owned after | $9.19 | 2020-01-07 |