0001140361-15-014587.txt : 20150406
0001140361-15-014587.hdr.sgml : 20150406
20150406185359
ACCESSION NUMBER: 0001140361-15-014587
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150203
FILED AS OF DATE: 20150406
DATE AS OF CHANGE: 20150406
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: 4Licensing Corp
CENTRAL INDEX KEY: 0000058592
STANDARD INDUSTRIAL CLASSIFICATION: PATENT OWNERS & LESSORS [6794]
IRS NUMBER: 132691380
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 767 THIRD AVENUE
STREET 2: 17TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 2127587666
MAIL ADDRESS:
STREET 1: 767 THIRD AVENUE
STREET 2: 17TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
FORMER COMPANY:
FORMER CONFORMED NAME: 4 KIDS ENTERTAINMENT INC
DATE OF NAME CHANGE: 19960627
FORMER COMPANY:
FORMER CONFORMED NAME: LEISURE CONCEPTS INC
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: AMERICAN LEISURE INDUSTRIES INC
DATE OF NAME CHANGE: 19740822
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Massad Wade
CENTRAL INDEX KEY: 0001492831
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16117
FILM NUMBER: 15754620
MAIL ADDRESS:
STREET 1: 1414 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10019
4
1
doc1.xml
FORM 4
X0306
4
2015-02-03
0
0000058592
4Licensing Corp
FOUR
0001492831
Massad Wade
C/O 4LICENSING CORPORATION
767 THIRD AVENUE, 17TH FLOOR
NEW YORK
NY
10017
1
0
0
0
Common Stock
2015-04-02
4
X
0
12189
0.26
A
49389
D
Common Stock
2015-04-02
4
S
0
12189
0.80
D
37200
D
Common Stock
617100
I
See Footnote
Nonstatutory Stock Option (right to buy)
0.26
2015-04-02
4
X
0
12189
0.00
D
2023-02-27
Common Stock
12189
187811
D
Common Stock Warrants (right to buy)
0.65
2015-02-03
4
P
0
77708
A
2015-02-03
2024-03-25
Common Stock
77708
77708
I
See Footnote
Common Stock Warrants (right to buy)
0.73
2015-03-04
4
P
0
52418
A
2015-03-04
2024-03-25
Common Stock
52418
52418
I
See Footnote
Represents 617,100 shares held and or managed by Cleveland Capital Management L.L.C. ("Cleveland Capital"). The Reporting Person is a managing director in Cleveland Capital and may have a pecuniary interest in the shares. The Reporting Person disclaims beneficial ownership of any shares of common stock in which he does not have a pecuniary interest.
The option vested in three equal installments on February 27, 2013, 2014 and 2015.
Represents a warrant to purchase 77,708 shares of Issuer's common stock that was acquired in connection with a transaction by the Issuer that triggered anti-dilution rights previously granted to Cleveland Capital, L.P. No separate consideration was paid by Cleveland Capital, L.P. for the warrant.
The warrant is held by Cleveland Capital, L.P. The general partner of Cleveland Capital, L.P. is Cleveland Capital. The reporting person is a member of Cleveland Capital and may have a pecuniary interest in the warrant and the shares underlying the warrant. The Reporting Person disclaims beneficial ownership of the warrant and any shares underlying the warrant in which he does not have a pecuniary interest.
Represents a warrant to purchase 52,418 shares of Issuer's common stock that was acquired in connection with a transaction by the Issuer that triggered anti-dilution rights previously granted to Cleveland Capital, L.P. No separate consideration was paid by Cleveland Capital, L.P. for the warrant.
/s/ Wade I. Massad
2015-04-06