0001654954-21-007375.txt : 20210629
0001654954-21-007375.hdr.sgml : 20210629
20210629153417
ACCESSION NUMBER: 0001654954-21-007375
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210625
FILED AS OF DATE: 20210629
DATE AS OF CHANGE: 20210629
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Geronimo Central Valley Opportunity Fund, LLC
CENTRAL INDEX KEY: 0001810486
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-56254
FILM NUMBER: 211057964
BUSINESS ADDRESS:
STREET 1: 54 BENTLEY LANE
CITY: CLINTON CORNERS
STATE: NY
ZIP: 12514
BUSINESS PHONE: 6468208259
MAIL ADDRESS:
STREET 1: 54 BENTLEY LANE
CITY: CLINTON CORNERS
STATE: NY
ZIP: 12514
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Geronimo CVOF Manager LLC
CENTRAL INDEX KEY: 0001861446
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-56254
FILM NUMBER: 211057965
BUSINESS ADDRESS:
STREET 1: 19 QUAIL RUN CIRCLE, SUITE B
CITY: SALINAS
STATE: CA
ZIP: 93907
BUSINESS PHONE: 408-605-2774
MAIL ADDRESS:
STREET 1: 19 QUAIL RUN CIRCLE, SUITE B
CITY: SALINAS
STATE: CA
ZIP: 93907
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Lowell Farms Inc.
CENTRAL INDEX KEY: 0001838128
STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE PRODUCTION - CROPS [0100]
IRS NUMBER: 000000000
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 19 QUAIL RUN CIRCLE - SUITE B
CITY: SALINAS
STATE: CA
ZIP: 93907
BUSINESS PHONE: (831) 998-8214
MAIL ADDRESS:
STREET 1: 19 QUAIL RUN CIRCLE - SUITE B
CITY: SALINAS
STATE: CA
ZIP: 93907
FORMER COMPANY:
FORMER CONFORMED NAME: Indus Holdings, Inc.
DATE OF NAME CHANGE: 20201228
4
1
section16.xml
FORM 4
X0306
4
2021-06-25
0001838128
Lowell Farms Inc.
LOWLF
0001861446
Geronimo CVOF Manager LLC
C/O LOWELL FARMS INC.
19 QUAIL RUN CIRCLE, SUITE B
SALINAS
CA
93907
true
0001810486
Geronimo Central Valley Opportunity Fund, LLC
C/O LOWELL FARMS INC.
19 QUAIL RUN CIRCLE, SUITE B
SALINAS
CA
93907
true
Covertible Debenture of Indus Holding Company
0.2
2021-06-25
4
J
false
37233
D
2020-07-01
2023-10-13
Subordinate Voting Shares
186165
10470254.50
I
See Footnote
Warrants (rights to buy)
0.28
2021-06-25
4
J
false
186165
D
2020-07-01
2023-10-13
Subordinate Voting Shares
186165
52351273
I
See Footnote
Convertible Debenture of Indus Holding Company
0.2
2020-07-01
2023-10-13
Subordinate Voting Shares
0
800063
D
Warrants (rights to buy)
0.28
2020-07-01
2023-10-13
Subordinate Voting Shares
0
800063
D
The principal amount of each Convertible Debenture is convertible into Class C Common Shares of Indus Holding Company ("Class C Common Shares"). Class C Common Shares may be redeemed at the option of the holder for Subordinate Voting Shares of the issuer on a one-for-one basis in accordance with the certificate of incorporation of Indus Holding Company. Class C Common Shares may be redeemed at any time and have no expiration date.
Interest accrues on the Convertible Debentures and is payable quarterly in arrears; any accrued and unpaid interest at the time of conversion of a Convertible Debenture is convertible into additional Class C Common Shares at $0.20 per share. Accrued interest is not included in the underlying share numbers.
The transfer constituted a partial redemption of a membership interest in Geronimo Fund to a member unrelated to CVOF Manager. The value of the consideration for the transferred derivative securities is deemed to be the value of the redeemed portion of such membership interest.
Geronimo Fund is the record holder of the convertible debenture and warrants. CVOF Manager disclaims beneficial ownership of the convertible debenture and warrants held by Geronimo Fund except to the extent of its pecuniary interest therein.
This Form 4 is filed on behalf of Geronimo CVOF Manager, LLC ("CVOF Manager") and Geronimo Central Valley Opportunity Fund, LLC ("Geronimo Fund"). CVOF Manager is the sole manager of Geronimo Fund.
/s/ George Allen, as Sole Manager of Geronimo CVOF Manager, LLC
2021-06-29
/s/ George Allen, as Sole Manager of Geronimo CVOF Manager, LLC, as Sole Manager of Geronimo Central Valley Opportunity Fund , LLC
2021-06-29