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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
12% Senior Secured Convertible Note (2) | $ 0.035 | 01/31/2014 | J(2) | 12,412,518 | 06/07/2013 | 06/07/2023 | Common | 12,412,518 | (2) | 12,000,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hunt Robert E C/O GROWLIFE, INC. 20301 VENTURA BLVD., SUITE 126 WOODLAND HILLS, CA 91364 |
X | Executive Vice President |
/s/ Robert E. Hunt | 04/29/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | As of 1/31/14, Robert Hunt had 15,746,460 shares of common stock. However, as of this filing date, 4/29/14, Robert Hunt has 13,776,200 shares. Before this filing was submitted, Robert Hunt had already disposed of common stock shares that was previously reported on Form 4 for the transaction date(s) of 4/3/14, 4/4/14, and 4/7/14. |
(2) | Robert Hunt exercised the convertible note on 1/31/14, leaving Robert Hunt with 15,746,460 shares of common stock as of 1/31/14. In a prior Form 5 filed by Robert Hunt, it was reported that Robert Hunt could have exercised the note for 12,445,947 shares of common stock. However, due to the derivative nature of the note, when Robert Hunt converted the note on 1/31/14, Robert Hunt only converted it into 12,412,518 shares of common stock. As of this filing date, 4/29/14, Robert Hunt still beneficially owns 12,000,000 options. |