Filing Details
- Accession Number:
- 0001683168-19-002818
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-09-04 16:38:35
- Reporting Period:
- 2019-08-30
- Accepted Time:
- 2019-09-04 16:38:35
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1162896 | Wizard Entertainment Inc. | WIZD | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1113835 | L. Paul Kessler | 662 N. Sepulveda Blvd., Suite 300 Los Angeles CA 90049 | Executive Chairman | No | Yes | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2019-08-30 | 95,950 | $0.16 | 50,964,372 | No | 4 | P | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See footnote |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Warrant for purchase of common stock | $0.15 | 2016-12-02 | 2021-12-02 | 16,666,667 | 16,666,667 | Indirect |
Common Stock | Convertible debenture | $0.15 | 2016-12-02 | 2018-12-31 | 16,666,667 | 16,666,667 | Indirect |
Common Stock | Options | $0.00 | 600,000 | 600,000 | Indirect | ||
Common Stock | Options | $0.13 | 2019-03-01 | 2024-01-23 | 300,000 | 300,000 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2021-12-02 | 16,666,667 | 16,666,667 | Indirect |
2018-12-31 | 16,666,667 | 16,666,667 | Indirect |
600,000 | 600,000 | Indirect | |
2024-01-23 | 300,000 | 300,000 | Indirect |
Footnotes
- These shares were purchased by Bristol Investment Fund, Ltd., a Cayman Islands exempted company ("BIF") managed by Bristol Capital Advisors, LLC ("BCA"), a Delaware LLC, of which Mr. Kessler has voting and dispositive power over the shares beneficially owned.
- The total includes: (i) 46,609,672 shares owned by BIF, (ii) 489,000 shares owned by Bristol Capital, LLC ("BC"), a Delaware LLC of which Mr. Kessler has voting and dispositive power over the shares beneficially owned, (iii) 78,700 shares owned by Paul Kessler IRA Rollover, of which Mr. Kessler has voting and dispositive power over the shares beneficially owned, and (iv) 787,000 shares owned by Bristol Capital Advisors Pension and Profit Sharing, of which Mr. Kessler has voting and dispositive power over the shares beneficially owned.
- On December 2, 2016, BIF purchased from Wizard World, Inc. (now known as "Wizard Entertainment, Inc.") (the "Issuer") a convertible debenture with a principal amount of $2,500,000 (with a conversion price of $0.15 per share) (the "Debenture") and a warrant to purchase to 16,666,667 shares of common stock (with an exercise price of $0.15 per share) (the "Warrant") for an aggregate purchase price of $2,500.000. The maturity date of the Debenture and expiration date of the Warrant shall be extended in a written agreement to be executed by the parties in 2019.
- The Issuer has issued stock options for 600,000 shares to BC pursuant to its stock award plans, with exercise prices ranging from $0.50 to $0.60, expiring on December 29, 2021 as disclosed in the Issuer's 10K report filed on April 1, 2019.
- The Issuer granted an option for 300,000 shares to Paul Kessler pursuant to the 2011 Stock Incentive and Award Plan, as amended.