0001493152-17-009025.txt : 20170811 0001493152-17-009025.hdr.sgml : 20170811 20170811211309 ACCESSION NUMBER: 0001493152-17-009025 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170811 FILED AS OF DATE: 20170811 DATE AS OF CHANGE: 20170811 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schwartz Louis CENTRAL INDEX KEY: 0001703555 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55821 FILM NUMBER: 171026617 MAIL ADDRESS: STREET 1: 333 BRYANT STREET STREET 2: SUITE 240 CITY: SAN FRANCISCO STATE: CA ZIP: 94107 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Frankly Inc CENTRAL INDEX KEY: 0001688667 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] IRS NUMBER: 981230527 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 333 BRYANT STREET, SUITE 240 CITY: SAN FRANCISCO STATE: CA ZIP: 94107 BUSINESS PHONE: 415-861-9797 MAIL ADDRESS: STREET 1: 333 BRYANT STREET, SUITE 240 CITY: SAN FRANCISCO STATE: CA ZIP: 94107 3 1 form3.xml X0206 3 2017-08-11 0 0001688667 Frankly Inc FKLY 0001703555 Schwartz Louis 333 BRYANT STREET, SUITE 310 SAN FRANCISCO CA 94107 0 1 0 0 CFO & COO Common Shares 11497 I By Schwartz & Associates, PC Stock options to purchase common shares 7.10 2025-08-25 Incentive Stock Option 5111 D Stock options to purchase common shares 7.10 2026-02-10 Incentive Stock Option 12110 D Stock options to purchase common shares 7.10 2027-03-03 Incentive Stock Option 10953 D Restricted stock units convertible to common shares 0 Restricted Stock Unit 24677 D Restricted stock units convertible to common shares 0 Restricted Stock Unit 6353 D The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission that the reporting person is the beneficial owner of all of the reported shares for purposes of Section 16 or for any other purpose. Out of the 5,111 options, 2,661 options will be vested and exercisable by 10/10/2017. The remaining options will be vested monthly by 1/48 of the issued amount after 10/10/2017. Out of 12,110 options, 5,045 options will be vested and exercisable by 10/10/2017. The remaining options will be vested monthly by 1/48 of the issued amount after 10/10/2017. 1/4 of the issued amount will be vested at 3/3/2018, and the remainder will be vested monthly by 1/48 of the issued amount thereafter 2/3 of the issued amount will be vested at 9/8/2017 and the remaining 1/3 of the amount will be vested at 3/8/2018 The issued RSUs will be vested annually from 3/3/2017 until 2021 at equal amount vesting each time /s/ Louis Schwartz______________ 2017-08-11