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