10/08/2025 | Press release | Distributed by Public on 10/08/2025 15:54
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF 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. | 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 | ||||
Series C Preferred Stock | 08/08/2025 | (1) | Common Stock | 25,422,072(2) | $1.081 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lucky Dog Holdings HARBOUR PLACE, 103 SOUTH CHURCH STREET # 10240 GRAND CAYMAN KY1-1002 |
X | Controlling Interest |
/s/ Mitchell Rudy | 10/08/2025 | |
**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) | The Series C Preferred Stock may be converted into common stock at the option of the holder at any time after the Conversion Period Commencement Date. |
(2) | With respect to Table II-3: 25,422,072 common stock, this would result from conversion of 27,481 shares of Series C Preferred Stock held by LDH. |
Remarks: Lucky Dog Holdings is an exempted company incorporated in the Cayman Islands, and has acquired 135,000 shares of Series C Convertible Preferred Stock, of which 27,481 shares can be converted, with the remaining 107,519 shares convertible following stockholder approval. |