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