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