0001493152-21-003007.txt : 20210208 0001493152-21-003007.hdr.sgml : 20210208 20210208204826 ACCESSION NUMBER: 0001493152-21-003007 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180101 FILED AS OF DATE: 20210208 DATE AS OF CHANGE: 20210208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mills Peter B CENTRAL INDEX KEY: 0001376483 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-12471 FILM NUMBER: 21603476 MAIL ADDRESS: STREET 1: 105 SOLANA DR. CITY: LOS ALTOS STATE: CA ZIP: 94022 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/A 1 ownership.xml X0306 4/A 2018-01-01 2020-12-29 0 0000894871 theMaven, Inc. MVEN 0001376483 Mills Peter B 225 LIBERTY STREET, 27TH FLOOR NEW YORK NY 10281 1 0 0 0 Common Stock 2018-09-01 4 A 0 29763 0.00 A 140220 D Common Stock 2018-10-01 4 A 0 19231 0.00 A 159451 D Common Stock 2019-01-01 4 A 0 208333 0.00 A 367784 D Common Stock 2019-02-22 4 M 0 25000 0.17 A 392784 D Common Stock 2019-02-22 4 F 0 9659 0.44 D 383125 D Common Stock 2020-02-06 4 A 0 125000 0.00 A 508125 D Common Stock 2021-01-01 4 A 0 166667 0.00 A 674792 D Options to purchase 1.95 2018-01-02 4 A 0 45000 0.00 A 2018-03-31 2028-01-01 Common Stock 45000 45000 D Series H Convertible Preferred Stock 0.33 2018-08-09 4 P 0 33 1000 A 2018-08-09 Common Stock 100000 33 D Options to purchase 0.17 2019-02-22 4 M 0 25000 0.00 D 2014-05-16 2019-05-16 Common Stock 25000 0 D Options to purchase 0.46 2019-04-10 5 A 0 E 241820 0.00 A 2029-04-10 Common Stock 241820 241820 D Vests 25% on 3/31/18, 6/30/18, 9/30/18 and 12/31/18. Vesting is a combined overlay of Time-based, Stock-Price-based, and Stock-Listing-based conditions. Time-based vesting is 1/3 vest after 1 year, with the balance monthly over next 2 years. Stock-Price vesting is a potential downward adjustment to the otherwise Time-based vested shares, where such adjustment is based on the rolling 45-day Volume Weighted Average Price set against specific price targets. Stock Listing vesting means that no otherwise Time-based and Stock Price-based vested shares are actually deemed as vested unless the Issuer's common stock is listed on a national securities exchange registered with the Securities and Exchange Commission under Section 6 of the Securities Exchange Act of 1934. The ability to exercise is subject to both: i) vesting conditions (2) and ii) the Issuer's Board of Directors approving a requisite increase in authorized shares of common stock, after the date the grant was issued, that would apply to this grant4. Shares sold to cover options exercised via cashless exercise. Shares sold to cover options exercised via cashless exercise. Not applicable /s/ Peter Mills 2021-02-09