0001663577-21-000196.txt : 20210420 0001663577-21-000196.hdr.sgml : 20210420 20210420191950 ACCESSION NUMBER: 0001663577-21-000196 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210416 FILED AS OF DATE: 20210420 DATE AS OF CHANGE: 20210420 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schultz S. Matthew CENTRAL INDEX KEY: 0001625587 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39187 FILM NUMBER: 21839122 MAIL ADDRESS: STREET 1: 2391 SOUTH 1560 WEST CITY: WOODS CROSS STATE: UT ZIP: 84087 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CLEANSPARK, INC. CENTRAL INDEX KEY: 0000827876 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 870449945 STATE OF INCORPORATION: NV FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 1185 SOUTH 1800 WEST, SUITE 3 CITY: WOODS CROSS STATE: UT ZIP: 84087 BUSINESS PHONE: (702) 941-8047 MAIL ADDRESS: STREET 1: 1185 SOUTH 1800 WEST, SUITE 3 CITY: WOODS CROSS STATE: UT ZIP: 84087 FORMER COMPANY: FORMER CONFORMED NAME: STRATEAN INC. DATE OF NAME CHANGE: 20141201 FORMER COMPANY: FORMER CONFORMED NAME: SMARTDATA CORP DATE OF NAME CHANGE: 19880120 4 1 ownership.xml X0306 4 2021-04-16 0 0000827876 CLEANSPARK, INC. CLSK 0001625587 Schultz S. Matthew 1185 SOUTH 1800 WEST SUITE 3 WOODS CROSS UT 84087 1 1 0 0 Executive Chairman Common Stock 2021-04-16 4 A 0 40000 0 A 209000 D Common Stock 480000 I By S M Schultz Irrevocable Trust Common Stock 40996 I By Spouse Employee Stock Option (Right to Buy) 23.00 2021-04-16 4 A 0 400000 0 A 2026-04-15 Common Stock 400000 400000 D Represents 40,000 restricted stock units awarded to the Reporting Person under the Issuer's 2017 Equity Incentive Plan (the "Plan") in connection with the Reporting Person's service as an executive officer and director of the Issuer, which restricted stock units were fully vested upon issuance. This includes 55,000 shares of restricted common stock issued to the Reporting Person on October 26, 2020, the vesting of which shares is subject to the achievement of certain corporate milestones of the Issuer for fiscal year 2021. The Reporting Person's ability to exercise 268,000 of the 400,000 Stock Options (the "Contingent Options") reported herein is conditioned upon stockholder approval of an amendment to the Plan. If such stockholder approval is not obtained, then the Contingent Options shall be forfeited by the Reporting Person. The Stock Options shall vest in 36 equal monthly installments from the grant date. /s/ S. Matthew Schultz 2021-04-20