0000899243-21-000505.txt : 20210105 0000899243-21-000505.hdr.sgml : 20210105 20210105190917 ACCESSION NUMBER: 0000899243-21-000505 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210105 DATE AS OF CHANGE: 20210105 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: 21508142 MAIL ADDRESS: STREET 1: 100 WILSHIRE BLVD STREET 2: 15TH FL 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 2020-12-31 1 0000894871 theMaven, Inc. MVEN 0000919484 STROME MARK E 1688 MERIDIAN AVE, SUITE 727 MIAMI BEACH FL 33139 0 0 1 0 Common Stock 2020-12-31 4 C 0 3750000 0.40 A 8235268 I See Footnote Common Stock 2020-12-31 4 C 0 1055930 0.33 A 9291198 I See Footnote 12% Senior Secured Subordinated Convertible Debenture 0.33 2020-12-31 4 J 0 348456.83 A 2020-12-31 Common Stock 1055930 1848456.83 I See Footnote 12% Senior Secured Subordinated Convertible Debenture 0.40 2020-12-31 4 C 0 1500000.00 0.00 D 2020-12-31 Common Stock 3750000 0 I See Footnote 12% Senior Secured Subordinated Convertible Debenture 0.33 2020-12-31 4 C 0 348456.83 0.00 D 2020-12-31 Common Stock 1055930 0 I See Footnote The reported security is owned directly by Strome Mezzanine Fund II, 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". The Issuer and the Reporting Persons agreed to the payment in kind of the accrued interest in the amount of $348,456.83 due under the 12% Senior Secured Subordinated Convertible Debenture as of the conversion date at a price of $0.33 per share, which was approved by the issuer's board of directors. Subject to the Issuer increasing its authorized shares of common stock, which occurred on December 18, 2020, the reported security was convertible into common stock at the option of the Fund at any time on or prior to the maturity date on December 31, 2020. /s/Mark E. Strome 2020-01-05 /s/Mark E. Strome, Signature as Authorized Person of each Reporting Person 2020-01-05