0001683168-20-000008.txt : 20200102 0001683168-20-000008.hdr.sgml : 20200102 20200102183923 ACCESSION NUMBER: 0001683168-20-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200102 DATE AS OF CHANGE: 20200102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KESSLER PAUL L. CENTRAL INDEX KEY: 0001113835 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-33383 FILM NUMBER: 20502719 MAIL ADDRESS: STREET 1: 662 N. SEPULVEDA BLVD., STREET 2: SUITE 300 CITY: LOS ANGELES STATE: CA ZIP: 90049 FORMER NAME: FORMER CONFORMED NAME: KESSLER PAUL DATE OF NAME CHANGE: 20000509 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WIZARD ENTERTAINMENT, INC. CENTRAL INDEX KEY: 0001162896 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-AMUSEMENT & RECREATION SERVICES [7900] IRS NUMBER: 980357690 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 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: Wizard World, Inc. DATE OF NAME CHANGE: 20110125 FORMER COMPANY: FORMER CONFORMED NAME: GOENERGY INC DATE OF NAME CHANGE: 20011129 4 1 ownership.xml X0306 4 2019-12-31 0 0001162896 WIZARD ENTERTAINMENT, INC. WIZD 0001113835 KESSLER PAUL L. 622 N. SEPULVEDA BLVD., SUITE 300 LOS ANGELES CA 90049 0 1 1 0 Executive Chairman Common stock, par value $0.0001 per share 2019-12-31 2019-12-31 4 P 0 411294 0.12 A 52401354 I See footnote Warrant for purchase of common stock 0.125 2016-12-02 2021-12-02 Common Stock 10666667 10666667 I See footnote Convertible debenture 0.125 2016-12-02 2018-12-31 Common Stock 16666667 16666667 I See footnote Options Common Stock 600000 600000 I See footnote Options 0.13 2019-03-01 2024-01-23 Common Stock 300000 300000 I See footnote These shares were purchased by Bristol Investment Fund, Ltd., a Cayman Islands exempted company ("BIF") managed by Bristol Capital Advisors, LLC ("BCA"), a Delaware LLC, of which Mr. Kessler has voting and dispositive power over the shares beneficially owned. The total includes: (i) 51,046,654 shares owned by BIF, (ii) 489,000 shares owned by Bristol Capital, LLC ("BC"), a Delaware LLC of which Mr. Kessler has voting and dispositive power over the shares beneficially owned, (iii) 78,700 shares owned by Paul Kessler IRA Rollover, of which Mr. Kessler has voting and dispositive power over the shares beneficially owned, and (iv) 787,000 shares owned by Bristol Capital Advisors Pension and Profit Sharing, of which Mr. Kessler has voting and dispositive power over the shares beneficially owned. On December 2, 2016, BIF purchased from Wizard World, Inc. (now known as "Wizard Entertainment, Inc.") (the "Issuer") a convertible debenture with a principal amount of $2,500,000 (with a conversion price of $0.15 per share) (the "Debenture") and a warrant to purchase to 16,666,667 shares of common stock (with an exercise price of $0.15 per share) (the "Warrant") for an aggregate purchase price of $2,500.000. The maturity date of the Debenture and expiration date of the Warrant were extended to December 2024 and the conversion price of the Debenture and exercise price of the Warrant were adjusted to $0.125 per share, pursuant to an agreement executed by the parties in December 2019. BIF transferred a portion of its Warrant for 6,000,000 shares to an investor of the Issuer pursuant to an agreement executed by BIF, such investor and the Issuer in December 2019. The Issuer has issued stock options for 600,000 shares to BC pursuant to its stock award plans, with exercise prices ranging from $0.50 to $0.60, expiring on December 29, 2021 as disclosed in the Issuer's 10K report filed on April 1, 2019. The Issuer granted an option for 300,000 shares to Paul Kessler pursuant to the 2011 Stock Incentive and Award Plan, as amended. /s/ Paul L. Kessler 2020-01-02