0001493152-18-016828.txt : 20181128 0001493152-18-016828.hdr.sgml : 20181128 20181128190015 ACCESSION NUMBER: 0001493152-18-016828 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181128 FILED AS OF DATE: 20181128 DATE AS OF CHANGE: 20181128 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McDonald Anthony K CENTRAL INDEX KEY: 0001454332 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54286 FILM NUMBER: 181206711 MAIL ADDRESS: STREET 1: 11934 W. 75TH PLACE CITY: ARVADA STATE: CO ZIP: 80005 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Surna Inc. CENTRAL INDEX KEY: 0001482541 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE SERVICES [0700] IRS NUMBER: 273911608 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1780 55TH STREET, SUITE C CITY: BOULDER STATE: CO ZIP: 80301 BUSINESS PHONE: 303-993-5271 MAIL ADDRESS: STREET 1: 1780 55TH STREET, SUITE C CITY: BOULDER STATE: CO ZIP: 80301 4 1 ownership.xml X0306 4 2018-11-28 0 0001482541 Surna Inc. SRNA 0001454332 McDonald Anthony K 11934 W. 75TH STREET ARVADA CO 80005 1 1 0 0 CEO/President Restricted Stock Units 0.00 2018-11-28 2018-11-28 4 J 0 197368 0.00 D Common Stock 197368 0 D Option to purchase common stock 0.089 2018-11-28 2018-11-28 4 A 0 1000000 A 2018-11-28 2028-11-28 Common Stock 1000000 1000000 D Option to purchase common stock 0.089 2018-11-28 2018-11-28 4 A 0 2000000 A 2019-12-31 2028-11-28 Common Stock 2000000 3000000 D Option to purchase common stock 0.089 2018-11-28 2018-11-28 4 A 0 2000000 A 2020-12-31 2028-11-28 Common Stock 2000000 5000000 D On September 12, 2018, in connection with the reporting person's appointment to the Issuer's Board of Directors (the "Board"), the Board granted the reporting person 197,368 restricted stock units ("RSUs"), which are scheduled to vest on September 12, 2019, subject to his continued service through the vesting date. The closing price of the Issuer's common stock as the grant date was $0.152. The grant of the RSUs was a transaction exempt from Section 16(b) of the Exchange Act. In connection with the grant of non-qualified stock options disclosed in Table II above, the Reporting Person agreed with the Board to surrender the RSU's to the Issuer,for cancellation as of November 28, 2018. On November 28, 2018, the Issuer's board of directors approved the grant of non-qualified stock options to purchase 1,000,000 shares of common stock at an exercise price of $0.089, the closing price of Issuer's common stock on November 27, 2018, which were vested and exercisable on the date of grant. These options were granted in connection with the Reporting Person's appointment as the Company's CEO and President. The grant of these options and the issuance of shares of common stock upon exercise thereof are transactions exempt from Section 16(b) of the Exchange Act. On November 28, 2018, the Issuer's board of directors approved the grant of non-qualified stock options to purchase 2,000,000 shares of common stock at an exercise price of $0.089, the closing price of Issuer's common stock on November 27, 2018, which vest and become exercisable on December 31, 2019 if the Reporting Person continues to be employed by the Issuer on that date. These options were granted in connection with the Reporting Person's appointment as the Company's CEO and President. The grant of these options and the issuance of shares of common stock upon exercise thereof are transactions exempt from Section 16(b) of the Exchange Act. On November 28, 2018, the Issuer's board of directors approved the grant of non-qualified stock options to purchase 2,000,000 shares of common stock at an exercise price of $0.089, the closing price of Issuer's common stock on November 27, 2018, which vest and become exercisable on December 31, 2020 if the Reporting Person continues to be employed by the Issuer on that date. These options were granted in connection with the Reporting Person's appointment as the Company's CEO and President. The grant of these options and the issuance of shares of common stock upon exercise thereof are transactions exempt from Section 16(b) of the Exchange Act. /s/ Anthony K. McDonald 2018-11-28