|
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
|
Warrants |
$
3.645 |
|
|
|
|
|
|
07/12/2019 |
07/12/2020 |
Class B Subordinate Voting Shares |
26,775 |
|
|
I |
By Gotham Green Fund II, L.P. (
1
) |
Warrants |
$
3.645 |
|
|
|
|
|
|
07/12/2019 |
07/12/2020 |
Class B Subordinate Voting Shares |
155,838 |
|
|
I |
By Gotham Green Fund II (Q), L.P. (
1
) |
Warrants |
$
3.645 |
|
|
|
|
|
|
07/12/2019 |
07/12/2020 |
Class B Subordinate Voting Shares |
356,653 |
|
|
I |
By Gotham Green SPV IV, L.P. (
1
) |
Warrants |
$
1.0111 |
|
|
|
|
|
|
11/27/2019 |
11/27/2022 |
Class B Subordinate Voting Shares |
380,646 |
|
|
I |
By Gotham Green Fund II, L.P. (
1
) |
Warrants |
$
1.0111 |
|
|
|
|
|
|
11/27/2019 |
11/27/2022 |
Class B Subordinate Voting Shares |
2,215,495 |
|
|
I |
By Gotham Green Fund II (Q), L.P. (
1
) |
Warrants |
$
1.1667 |
|
|
|
|
|
|
11/27/2019 |
11/27/2022 |
Class B Subordinate Voting Shares |
109,964 |
|
|
I |
By Gotham Green Fund II, L.P. (
1
) |
Warrants |
$
1.1667 |
|
|
|
|
|
|
11/27/2019 |
11/27/2022 |
Class B Subordinate Voting Shares |
640,032 |
|
|
I |
By Gotham Green Fund II (Q), L.P. (
1
) |
Warrants |
$
6.87 (
2
) |
|
|
|
|
|
|
11/27/2019 |
11/27/2022 |
Class B Subordinate Voting Shares |
59,992 |
|
|
I |
By Gotham Green Fund I, L.P. (
1
) |
Warrants |
$
6.87 (
2
) |
|
|
|
|
|
|
11/27/2019 |
11/27/2022 |
Class B Subordinate Voting Shares |
240,007 |
|
|
I |
By Gotham Green Fund I (Q), L.P. (
1
) |
Convertible Notes |
$
0.26 |
|
|
|
|
|
|
03/27/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
94,475 |
|
|
I |
By Gotham Green Fund I, L.P. (
1
) |
Convertible Notes |
$
0.26 |
|
|
|
|
|
|
03/27/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
377,961 |
|
|
I |
By Gotham Green Fund I (Q), L.P. (
1
) |
Convertible Notes |
$
0.26 |
|
|
|
|
|
|
03/27/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
253,440 |
|
|
I |
By Gotham Green Fund II, L.P. (
1
) |
Convertible Notes |
$
0.26 |
|
|
|
|
|
|
03/27/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
1,475,109 |
|
|
I |
By Gotham Green Fund II (Q), L.P. (
1
) |
Convertible Notes |
$
0.26 |
|
|
|
|
|
|
03/27/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
2,760,620 |
|
|
I |
By Gotham Green SPV IV, L.P. (
1
) |
Convertible Notes |
$
0.26 |
|
|
|
|
|
|
03/27/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
115,909 |
|
|
I |
By Gotham Green SPV VI, L.P. (
1
) |
Convertible Notes |
$
0.26 |
|
|
|
|
|
|
04/24/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
13,827 |
|
|
I |
By Gotham Green Fund I, L.P. (
1
) |
Convertible Notes |
$
0.26 |
|
|
|
|
|
|
04/24/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
55,317 |
|
|
I |
By Gotham Green Fund I (Q), L.P. (
1
) |
Convertible Notes |
$
0.26 |
|
|
|
|
|
|
04/24/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
37,093 |
|
|
I |
By Gotham Green Fund II, L.P. (
1
) |
Convertible Notes |
$
0.26 |
|
|
|
|
|
|
04/24/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
215,892 |
|
|
I |
By Gotham Green Fund II (Q), L.P. (
1
) |
Convertible Notes |
$
0.26 |
|
|
|
|
|
|
04/24/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
404,035 |
|
|
I |
By Gotham Green SPV IV, L.P. (
1
) |
Convertible Notes |
$
0.26 |
|
|
|
|
|
|
04/24/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
41,196 |
|
|
I |
By Gotham Green SPV VI, L.P. (
1
) |
Convertible Notes |
$
0.34 |
|
|
|
|
|
|
06/30/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
222,523 |
|
|
I |
By Gotham Green Fund I, L.P. (
1
) |
Convertible Notes |
$
0.34 |
|
|
|
|
|
|
06/30/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
890,230 |
|
|
I |
By Gotham Green Fund I (Q), L.P. (
1
) |
Convertible Notes |
$
0.34 |
|
|
|
|
|
|
06/30/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
596,230 |
|
|
I |
By Gotham Green Fund II, L.P. (
1
) |
Convertible Notes |
$
0.34 |
|
|
|
|
|
|
06/30/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
3,474,399 |
|
|
I |
By Gotham Green Fund II (Q), L.P. (
1
) |
Convertible Notes |
$
0.34 |
|
|
|
|
|
|
06/30/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
6,502,230 |
|
|
I |
By Gotham Green SPV IV, L.P. (
1
) |
|