0001213900-17-002304.txt : 20170314 0001213900-17-002304.hdr.sgml : 20170314 20170314182041 ACCESSION NUMBER: 0001213900-17-002304 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170310 FILED AS OF DATE: 20170314 DATE AS OF CHANGE: 20170314 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SG BLOCKS, INC. CENTRAL INDEX KEY: 0001023994 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-LUMBER & OTHER CONSTRUCTION MATERIALS [5030] IRS NUMBER: 954463937 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 195 MONTAGUE STREET, 14TH FLOOR CITY: BROOKLYN STATE: NY ZIP: 11201 BUSINESS PHONE: (646) 240-4235 MAIL ADDRESS: STREET 1: 195 MONTAGUE STREET, 14TH FLOOR CITY: BROOKLYN STATE: NY ZIP: 11201 FORMER COMPANY: FORMER CONFORMED NAME: CDSI HOLDINGS INC DATE OF NAME CHANGE: 19990114 FORMER COMPANY: FORMER CONFORMED NAME: PC411 INC DATE OF NAME CHANGE: 19961001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shetty Mahesh S CENTRAL INDEX KEY: 0001362346 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22563 FILM NUMBER: 17689303 MAIL ADDRESS: STREET 1: 429 MEMORY LANE CITY: MARSHALL STATE: TX ZIP: 75672 4 1 f4031017shetty_sgblocks.xml OWNERSHIP DOCUMENT X0306 4 2017-03-10 0 0001023994 SG BLOCKS, INC. SGBX* 0001362346 Shetty Mahesh S C/O SG BLOCKS, INC., 195 MONTAGUE STREET, 14TH FLOOR BROOKLYN, NY 11201 1 1 0 0 CFO Stock Option (right to buy) 2017-03-10 4 A 0 79468 0 A 2027-03-10 Common Stock 79468 79468 D Stock Option (right to buy) 2017-03-10 4 A 0 52978 0 A 2027-03-10 Common Stock 52978 52978 D The options, issued under the issuer's stock incentive plan, will have an exercise price equal to the price per share at which the public purchases shares of common stock in the offering pursuant to which a registration statement on Form S-1 was filed with the Securities and Exchange Commission on February 6, 2017. The options, issued under the issuer's stock incentive plan, will have an exercise price equal to 120% of the price per share at which the public purchases shares of common stock in the offering pursuant to which a registration statement on Form S-1 was filed with the Securities and Exchange Commission on February 6, 2017. The options will vest and become exercisable in three tranches, with 1/3 of each option vesting upon the achievement of any one of three performance targets, as specified in the stock option agreement. The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer. * The issuer intends to apply for quotation or listing under this symbol in the future. /s/ Mahesh Shetty 2017-03-14