0000899243-19-011647.txt : 20190501 0000899243-19-011647.hdr.sgml : 20190501 20190501183231 ACCESSION NUMBER: 0000899243-19-011647 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190429 FILED AS OF DATE: 20190501 DATE AS OF CHANGE: 20190501 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STROME MARK E CENTRAL INDEX KEY: 0000919484 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12471 FILM NUMBER: 19789120 MAIL ADDRESS: STREET 1: 100 WILSHIRE BLVD STREET 2: 15TH FL CITY: SANTA MONICA STATE: CA ZIP: 90401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STROME MEZZANINE FUND, LP CENTRAL INDEX KEY: 0001713153 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12471 FILM NUMBER: 19789121 BUSINESS ADDRESS: STREET 1: 100 WILSHIRE BLVD., SUITE 1750 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 3109176600 MAIL ADDRESS: STREET 1: 100 WILSHIRE BLVD., SUITE 1750 CITY: SANTA MONICA STATE: CA ZIP: 90401 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: theMaven, Inc. CENTRAL INDEX KEY: 0000894871 STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841] IRS NUMBER: 680232575 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1500 FOURTH AVENUE, SUITE 200 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 775-600-2765 MAIL ADDRESS: STREET 1: 1500 FOURTH AVENUE, SUITE 200 CITY: SEATTLE STATE: WA ZIP: 98101 FORMER COMPANY: FORMER CONFORMED NAME: THEMAVEN, INC. DATE OF NAME CHANGE: 20161209 FORMER COMPANY: FORMER CONFORMED NAME: INTEGRATED SURGICAL SYSTEMS INC DATE OF NAME CHANGE: 19960725 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-04-29 0 0000894871 theMaven, Inc. MVEN 0000919484 STROME MARK E 100 WILSHIRE BLVD., SUITE 1750 SANTA MONICA CA 90401 0 0 1 0 0001713153 STROME MEZZANINE FUND, LP 100 WILSHIRE BLVD., SUITE 1750 SANTA MONICA CA 90401 0 0 1 0 Series H Convertible Preferred Stock 0.33 2019-04-29 4 P 0 200 1000.00 A Common Stock 5800 I See footnote The reported securities are owned directly by Strome Mezzanine Fund, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Subject to the conversion limitation (described in note 3), the reported security is convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date. The reported security is subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported security into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported security into additional shares of common stock. Absent this conversion limitation, the reported security would be convertible into 606,060 shares of the issuer's common stock at the election of the Fund. /s/Mark E. Strome 2019-05-01 /s/Mark E. Strome, as Authorized Person of each Reporting Person 2019-05-01