0000899243-20-023212.txt : 20200821
0000899243-20-023212.hdr.sgml : 20200821
20200821171453
ACCESSION NUMBER: 0000899243-20-023212
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200819
FILED AS OF DATE: 20200821
DATE AS OF CHANGE: 20200821
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: 201124161
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: 201124162
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
2020-08-19
0
0000894871
theMaven, Inc.
MVEN
0000919484
STROME MARK E
1688 MERIDIAN AVE, SUITE 727
MIAMI BEACH
FL
33139
0
0
1
0
0001713153
STROME MEZZANINE FUND, LP
1688 MERIDIAN AVE, SUITE 727
MIAMI BEACH
FL
33139
0
0
1
0
Series H Convertible Preferred Stock
0.33
2020-08-19
4
P
0
82.5
1000.00
A
Common Stock
8132.5
I
See Footnotes
Series H Convertible Preferred Stock
0.33
2020-08-20
4
P
0
412.5
1000.00
A
Common Stock
8545
I
See Footnotes
The reported securities are owned directly by Strome Alpha Fund, L.P. (the "Alpha Fund").
The reported securities are owned directly by Strome Mezzanine Fund, LP (the "Mezzanine Fund").
Strome Investment Management, L.P. ("SIM") is the general partner of the Alpha Fund and the Mezzanine Fund (collectively, the "Funds"). Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".
Subject to the conversion limitation (described in note 5), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date.
The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities 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 securities into additional shares of common stock. Absent this conversion limitation, the reported securities held by the Funds would be convertible into 1,500,000 shares of the issuer's common stock at the election of the Funds.
/s/Mark E. Strome
2020-08-21
/s/Mark E. Strome
2020-08-21