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