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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 | ||||||||
Warrant (Right to Buy) | $ 0.1 | 07/21-06:00/2017 | J | 1,000,000 | 07/21-06:00/2017 | 07/21-06:00/2022 | Common Stock | 1,000,000 | (1) | 1,000,000 | I | See footnote (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ponder Quentin Dean C/O COOL TECHNOLOGIES, INC. 8875 HIDDEN RIVER PARKWAY, SUITE 300 TAMPA, FL 33637 |
Vice Chairman, CFO, Director |
/s/ Quentin D. Ponder | 08/04-06:00/2017 | |
**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) | Mr. Ponder is the sole owner of Summit Management Consulting, Inc. ("Summit Management Consulting"). Pursuant to a consulting agreement between Cool Technologies Inc. (the "Company) and Summit Management, the Company pays Summit a monthly consulting fee of $12,000. As of June 30, 2017, the Company owed Summit Management $176,060 in accrued consulting fees. On July 21, 2017, in payment of $70,000 of the accrued fees consulting fees owed to Summit Management, the Company issued Summit Management 1,0000,000 shares of the Company's common stock and a warrant to purchase 1,000,000 shares of the Company's common stock at an exercise price of $0.10 per share. |