0001209191-20-045290.txt : 20200805 0001209191-20-045290.hdr.sgml : 20200805 20200805190527 ACCESSION NUMBER: 0001209191-20-045290 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200803 FILED AS OF DATE: 20200805 DATE AS OF CHANGE: 20200805 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Auerbach Michael CENTRAL INDEX KEY: 0001746080 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38594 FILM NUMBER: 201079192 MAIL ADDRESS: STREET 1: 158 HESTER STREET STREET 2: APT 7F CITY: NEW YORK STATE: NY ZIP: 10013 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Tilray, Inc. CENTRAL INDEX KEY: 0001731348 STANDARD INDUSTRIAL CLASSIFICATION: MEDICINAL CHEMICALS & BOTANICAL PRODUCTS [2833] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1100 MAUGHAN ROAD CITY: NANAIMO STATE: A1 ZIP: V9X 1J2 BUSINESS PHONE: 2064329325 MAIL ADDRESS: STREET 1: 1100 MAUGHAN ROAD CITY: NANAIMO STATE: A1 ZIP: V9X 1J2 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-08-03 0 0001731348 Tilray, Inc. TLRY 0001746080 Auerbach Michael 1100 MAUGHAN ROAD NANAIMO A1 V9X IJ2 BRITISH COLUMBIA, CANADA 1 0 0 0 Class 2 Common Stock 2020-08-03 4 M 0 3168 0.1913 A 398611 D Class 2 Common Stock 2020-08-03 4 M 0 107290 1.2477 A 505901 D Class 2 Common Stock 2020-08-03 4 M 0 21458 1.2477 A 527359 D Class 2 Common Stock 2020-08-03 4 M 0 21458 2.5137 A 548817 D Class 2 Common Stock 2020-08-03 4 M 0 5717 2.5137 A 554534 D Class 2 Common Stock 2020-08-03 4 S 0 279608 7.2751 D 274926 D Class 2 Common Stock 2020-08-03 4 S 0 75526 7.2746 D 0 I By: M3 Daat, LLC Class 2 Common Stock 456315 I By: Murphy Ofutt Common LLC Class 2 Common Stock 1166634 I By: Murphy Ofutt LLC Class 2 Common Stock 42028 I By: M3 Ein Sof LLC Stock Option (Right to Buy) 0.1913 2020-08-03 4 M 0 3168 0.00 D 2024-06-17 Class 2 Common Stock 3168 0 D Stock Option (Right to Buy) 1.2477 2020-08-03 4 M 0 107290 0.00 D 2024-11-10 Class 2 Common Stock 107290 0 D Stock Option (Right to Buy) 1.2477 2020-08-03 4 M 0 21458 0.00 D 2024-11-10 Class 2 Common Stock 21458 0 D Stock Option (Right to Buy) 2.5137 2020-08-03 4 M 0 21458 0.00 D 2025-09-17 Class 2 Common Stock 21458 0 D Stock Option (Right to Buy) 2.5137 2020-08-03 4 M 0 5717 0.00 D 2025-09-17 Class 2 Common 5717 101573 D The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.11 to $7.54, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in the footnote 3 to this Form 4. The Reporting Person is a member of M3 Daat, LLC and has sole voting and investment power with respect to the shares held by M3 Daat, LLC. Mr. Auerbach serves as General Partner of Murphy Ofutt Common, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt Common, LLC Mr. Auerbach serves as General Partner of Murphy Ofutt Common, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt Common, LLC Mr. Auerbach is a member of M3 Ein Sof LLC and has sole voting and investment power with respect to the shares held by M3 Ein Sof LLC. The shares subject to this option are fully vested. /s/ Sandra Dennis, Attorney-in-fact 2020-08-05