04/01/2026 | Press release | Distributed by Public on 04/01/2026 18:51
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT 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) | ||
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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 | ||||||||
| Warrants | $0.49 | 09/07/2024 | J(1) | 2,258,877 | 12/15/2024 | 12/15/2029 | Common Stock | 2,258,877 | (1) | 0 | I | See Footnote(2) | |||
| Warrants | $0.54 | 09/07/2024 | J(1) | 2,000,000 | 11/28/2023 | 12/31/2028 | Common Stock | 2,000,000 | (1) | 0 | I | See Footnote(2) | |||
| Options | $0.54 | 09/07/2024 | J(1) | 750,000 | 12/31/2023 | 11/28/2028 | Common Stock | 750,000 | (1) | 0 | D | ||||
| Warrants | $0.50 | 09/07/2024 | J(1) | 200,000 | 02/12/2024 | 02/12/2029 | Common Stock | 200,000 | (1) | 0 | I | See Footnote(2) | |||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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FONTENOT SEAN PAUL 1202 WALNUT AVENUE LONG BEACH, CA 90813 |
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| /s/ Sean P. Fontenot | 04/01/2026 | |
| **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) | This amended Form 4 is being filed to correct errors from the initial Form 4 filing for the reporting beneficial person's ownership of securities of CalEthos, Inc. (the "Issuer"). On September 7, 2024, the reporting person entered into an acquisition agreement with SFO IDF LLC ("SFO") pursuant to which the reporting person transferred his entire beneficial ownership of the securities of the Issuer to SFO. Such transfers were made without consideration for estate planning purposes. |
| (2) | The reported securities were owned by Nanosha Investments LLC, a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. |