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