Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(
e.g.
, puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Transaction Date (MM/DD/YY)
|
3A. Deemed Execution Date, if any (MM/DD/YY)
|
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
(MM/DD/YY)
|
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)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Warrant (
1
) |
$
3.159 |
01/11/2021 |
|
H(
2
) |
|
|
5,267 |
07/12/2019 |
07/12/2022 |
Class B Subordinate Voting Shares |
5,267 |
(
3
) |
36,869 |
I (
4
) |
By Gotham Green Fund I LP. (
5
) |
Warrant (
6
) |
$
3.645 |
01/11/2021 |
|
H(
2
)
| |
|
1,522 |
07/12/2019 |
07/12/2022 |
Class B Subordinate Voting Shares |
1,522 |
(
3
) |
10,651 |
I |
By Gotham Green Fund I LP. (
5
) |
Warrant (
6
) |
$
3.718 |
01/11/2021 |
|
H(
2
) |
|
|
10,085 |
04/23/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
10,085 |
(
3
) |
70,593 |
I |
By Gotham Green Fund I LP. (
5
) |
Warrant (
6
) |
$
4.29 |
01/11/2021 |
|
H(
2
) |
|
|
2,913 |
04/23/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
2,913 |
(
3
) |
20,394 |
I |
By Gotham Green Fund I LP. (
5
) |
Warrant (
6
) |
$
3.718 |
01/11/2021 |
|
H(
2
) |
|
|
7,816 |
05/22/2019 |
05/22/2022 |
Class B Subordinate Voting Shares |
7,816 |
(
3
) |
54,710 |
I |
By Gotham Green Fund I LP. (
5
) |
Warrant (
6
) |
$
4.29 |
01/11/2021 |
|
H(
2
) |
|
|
2,258 |
05/22/2019 |
05/22/2022 |
Class B Subordinate Voting Shares |
2,258 |
(
3
) |
15,805 |
I |
By Gotham Green Fund I LP. (
5
) |
Warrant (
6
) |
$
0.1608 |
01/11/2021 |
|
J(
7
) |
|
3,938,841 |
|
01/11/2021 |
01/11/2026 |
Class B Subordinate Voting Shares |
3,938,841 |
(
3
) |
3,938,841 |
I |
By Gotham Green Fund I LP. (
5
) |
Warrant (
6
) |
$
0.1608 |
01/11/2021 |
|
J(
7
) |
|
689,663 |
|
09/27/2021(
8
) |
01/11/2026 |
Class B Subordinate Voting Shares |
689,663 |
(
3
) |
689,663 |
I |
By Gotham Green Fund I LP. (
5
) |
Warrant (
6
) |
$
3.159 |
01/11/2021 |
|
H(
2
) |
|
|
21,071 |
07/12/2019 |
07/12/2022 |
Class B Subordinate Voting Shares |
21,071 |
(
3
) |
147,500 |
I |
By Gotham Green Fund 1(Q) LP (
5
) |
Warrant (
6
) |
$
3.645 |
01/11/2021 |
|
H(
2
) |
|
|
6,087 |
07/12/2019 |
07/12/2022 |
Class B Subordinate Voting Shares |
6,087 |
(
3
) |
42,611 |
I |
By Gotham Green Fund 1(Q) LP (
5
) |
Warrant (
6
) |
$
3.718 |
01/11/2021 |
|
H(
2
) |
|
|
40,346 |
04/23/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
40,346 |
(
3
) |
282,418 |
I |
By Gotham Green Fund 1(Q) LP (
5
) |
Warrant (
6
) |
$
4.29 |
01/11/2021 |
|
H(
2
) |
|
|
11,655 |
04/23/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
11,655 |
(
3
) |
81,588 |
I |
By Gotham Green Fund 1(Q) LP (
5
) |
Warrant (
6
) |
$
3.718 |
01/11/2021 |
|
H(
2
) |
|
|
31,268 |
05/22/2019 |
05/22/2022 |
Class B Subordinate Voting Shares |
31,268 |
(
3
) |
218,874 |
I |
By Gotham Green Fund 1(Q) LP (
5
) |
Warrant (
6
) |
$
4.29 |
01/11/2021 |
|
H(
2
) |
|
|
9,033 |
05/22/2019 |
05/22/2022 |
Class B Subordinate Voting Shares |
9,033 |
(
3
) |
63,230 |
I |
By Gotham Green Fund 1(Q) LP (
5
) |
Warrant (
6
) |
$
0.1608 |
01/11/2021 |
|
J(
7
) |
|
15,757,826 |
|
01/11/2021 |
01/11/2026 |
Class B Subordinate Voting Shares |
15,757,826 |
(
3
) |
15,757,826 |
I |
By Gotham Green Fund 1(Q) LP (
5
) |
Warrant (
6
) |
$
0.1608 |
01/11/2021 |
|
J(
7
) |
|
2,759,083 |
|
09/27/2021(
8
) |
01/11/2026 |
Class B Subordinate Voting Shares |
2,759,083 |
(
3
) |
2,759,083 |
I |
By Gotham Green Fund 1(Q) LP (
5
) |
Warrant (
6
) |
$
3.159 |
01/11/2021 |
|
H(
2
) |
|
|
11,585 |
07/12/2019 |
07/12/2022 |
Class B Subordinate Voting Shares |
11,585 |
(
3
) |
81,097 |
I |
By Gotham Green Fund II LP (
5
) |
Warrant (
6
) |
$
3.645 |
01/11/2021 |
|
H(
2
) |
|
|
3,347 |
07/12/2019 |
07/22/2022 |
Class B Subordinate Voting Shares |
3,347 |
(
3
) |
23,428 |
I |
By Gotham Green Fund II LP (
5
) |
Warrant (
6
) |
$
3.718 |
01/11/2021 |
|
H(
2
) |
|
|
177,458 |
04/23/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
177,458 |
(
3
) |
155,276 |
I |
By Gotham Green Fund II LP (
5
) |
Warrant (
6
) |
$
4.29 |
01/11/2021 |
|
H(
2
) |
|
|
51,266 |
04/23/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
51,266 |
(
3
) |
44,858 |
I |
By Gotham Green Fund II LP (
5
) |
Warrant (
6
) |
$
3.718 |
01/11/2021 |
|
H(
2
) |
|
|
17,191 |
05/22/2019 |
05/22/2022 |
Class B Subordinate Voting Shares |
17,191 |
(
3
) |
120,339 |
I |
By Gotham Green Fund II LP (
5
) |
Warrant (
6
) |
$
4.29 |
01/11/2021 |
|
H(
2
) |
|
|
4,966 |
05/22/2019 |
05/22/2022 |
Class B Subordinate Voting Shares |
4,966 |
(
3
) |
34,765 |
I |
By Gotham Green Fund II LP (
5
) |
Warrant (
6
) |
$
1.0111 |
01/11/2021 |
|
H(
2
) |
|
|
47,581 |
11/27/2019 |
11/27/2022 |
Class B Subordinate Voting Shares |
47,581 |
(
3
) |
333,065 |
I |
By Gotham Green Fund II LP (
5
) |
Warrant (
6
) |
$
1.1667 |
01/11/2021 |
|
H(
2
) |
|
|
13,746 |
11/27/2019 |
11/27/2022 |
Class B Subordinate Voting Shares |
13,746 |
(
3
) |
96,218 |
I |
By Gotham Green Fund II LP (
5
) |
Warrant (
6
) |
$
0.1608 |
01/11/2021 |
|
J(
7
) |
|
2,034,734 |
|
01/11/2021 |
01/11/2026 |
Class B Subordinate Voting Shares |
2,034,734 |
(
3
) |
2,034,734 |
I |
By Gotham Green Fund II LP (
5
) |
Warrant (
6
) |
$
0.1608 |
01/11/2021 |
|
J(
7
) |
|
1,915,792 |
|
09/27/2021(
8
) |
01/11/2026 |
Class B Subordinate Voting Shares |
1,915,792 |
(
3
) |
1,915,792 |
I |
By Gotham Green Fund II LP (
5
) |
Warrant (
6
) |
$
3.159 |
01/11/2021 |
|
H(
2
) |
|
|
154,321 |
07/12/2019 |
07/12/2022 |
Class B Subordinate Voting Shares |
154,321 |
(
3
) |
1,080,247 |
I |
Gotham Green Partners IV, L.P. (
5
) |
Warrant (
6
) |
$
3.645 |
01/11/2021 |
|
H(
2
) |
|
|
44,582 |
07/12/2019 |
07/12/2022 |
Class B Subordinate Voting Shares |
44,582 |
(
3
) |
312,071 |
I |
Gotham Green Partners IV, L.P. (
5
) |
Warrant (
6
) |
$
3.718 |
01/11/2021 |
|
H(
2
) |
|
|
524,476 |
05/22/2019 |
05/22/2022 |
Class B Subordinate Voting Shares |
52,476 |
(
3
) |
3,671,328 |
I |
Gotham Green Partners IV, L.P. (
5
) |
Warrant (
6
) |
$
4.29 |
01/11/2021 |
|
H(
2
) |
|
|
151,515 |
05/22/2019 |
05/22/2022 |
Class B Subordinate Voting Shares |
151,515 |
(
3
) |
1,060,606 |
I |
Gotham Green Partners IV, L.P. (
5
) |
|