0001493152-17-000091.txt : 20170103 0001493152-17-000091.hdr.sgml : 20170103 20170103212529 ACCESSION NUMBER: 0001493152-17-000091 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161229 FILED AS OF DATE: 20170103 DATE AS OF CHANGE: 20170103 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Wizard World, Inc. CENTRAL INDEX KEY: 0001162896 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-AMUSEMENT & RECREATION SERVICES [7900] IRS NUMBER: 980357690 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 BUSINESS ADDRESS: STREET 1: 3960 HOWARD HUGHES PARKWAY STREET 2: SUITE 500 CITY: LAS VEGAS STATE: NV ZIP: 89169 BUSINESS PHONE: 6049618878 MAIL ADDRESS: STREET 1: 3960 HOWARD HUGHES PARKWAY STREET 2: SUITE 500 CITY: LAS VEGAS STATE: NV ZIP: 89169 FORMER COMPANY: FORMER CONFORMED NAME: GOENERGY INC DATE OF NAME CHANGE: 20011129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KESSLER PAUL CENTRAL INDEX KEY: 0001113835 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-33383 FILM NUMBER: 17503449 MAIL ADDRESS: STREET 1: 662 N. SEPULVEDA BLVD., STREET 2: SUITE 300 CITY: LOS ANGELES STATE: CA ZIP: 90049 4 1 form4.xml X0306 4 2016-12-29 0 0001162896 Wizard World, Inc. WIZD 0001113835 KESSLER PAUL 662 N. SEPULVEDA BLVD., SUITE 300 LOS ANGELES CA 90049 1 1 1 0 Executive Chairman Common Stock 34681646 I See footnote Stock Option (Right to Buy) 0.50 2016-12-29 4 A 0 75000 A 2016-12-29 2021-12-29 Common Stock 75000 33858334 I See footnote Stock Option (Right to Buy) 0.50 2016-12-29 4 A 0 75000 A 2016-12-31 2021-12-29 Common Stock 75000 33933334 I See footnote Stock Option (Right to Buy) 0.55 2016-12-29 4 A 0 75000 A 2017-03-31 2021-12-29 Common Stock 75000 34008334 I See footnote Stock Option (Right to Buy) 0.55 2016-12-29 4 A 0 75000 A 2017-06-30 2021-12-29 Common Stock 75000 34083334 I See footnote Stock Option (Right to Buy) 0.55 2016-12-29 4 A 0 75000 A 2017-09-30 2021-12-29 Common Stock 75000 34158334 I See footnote Stock Option (Right to Buy) 0.60 2016-12-29 4 A 0 75000 A 2017-12-31 2021-12-29 Common Stock 75000 34233334 I See footnote Stock Option (Right to Buy) 0.60 2016-12-29 4 A 0 75000 A 2018-03-31 2021-12-29 Common Stock 75000 34308334 I See footnote Stock Option (Right to Buy) 0.60 2016-12-29 4 A 0 75000 A 2018-06-30 2021-12-29 Common Stock 75000 34383334 I See footnote These shares include: (i) 33,326,946 shares owned by Bristol Investment Fund, Ltd., a Cayman Islands exempted company managed by Bristol Capital Advisors LLC, a Delaware limited liability company, of which Mr. Kessler, as the manager, has voting and dispositive power over the shares beneficially owned (ii) 489,000 shares owned by Bristol Capital, LLC, a Delaware limited liability company ("Bristol Capital"), of which Mr. Kessler is the manager and, acting alone, has voting and dispositive power over the shares beneficially owned, (iii) 78,700 shares owned by Paul Kessler IRA Rollover, of which Mr. Kessler, acting alone, has voting and dispositive power over the shares beneficially owned, and (iv) 787,000 shares owned by Bristol Capital Pension and Profit Sharing, of which Mr. Kessler, acting alone, has voting and dispositive power over the shares beneficially owned. This total does not include derivative securities held by Mr. Kessler. Bristol Capital acquired the stock options for services rendered pursuant to a Consulting Services Agreement, dated December 29, 2016 (the "Consulting Agreement"), by and between Bristol Capital and Wizard World, Inc., a Delaware corporation. The stock options shall automatically vest upon a Change in Control as defined in the Consulting Agreement. The stock options are held by Bristol Capital, of which Mr. Kessler is the manager and has dispositive control of the stock options. /s/ Paul L. Kessler 2017-01-03