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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)
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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)
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8. Price of Derivative Security
(Instr. 5)
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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
|
Convertible Notes |
$
0.34 |
|
|
|
|
|
|
06/30/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
12,045 |
|
|
I |
By Gotham Green SPV VI, L.P. (
1
) |
Convertible Notes |
$
0.2 |
|
|
|
|
|
|
09/14/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
35,951 |
|
|
I |
By Gotham Green Fund I, L.P. (
1
) |
Convertible Notes |
$
0.2 |
|
|
|
|
|
|
09/14/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
143,825 |
|
|
I |
By Gotham Green Fund I (Q), L.P. (
1
) |
Convertible Notes |
$
0.2 |
|
|
|
|
|
|
09/14/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
96,441 |
|
|
I |
By Gotham Green Fund II, L.P. (
1
) |
Convertible Notes |
$
0.2 |
|
|
|
|
|
|
09/14/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
561,320 |
|
|
I |
By Gotham Green Fund II (Q), L.P. (
1
) |
Convertible Notes |
$
0.2 |
|
|
|
|
|
|
09/14/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
1,050,492 |
|
|
I |
By Gotham Green SPV IV, L.P. (
1
) |
Convertible Notes |
$
2.55 |
|
|
|
|
|
|
04/23/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
6,257 |
|
|
I |
By Gotham Green Fund I, L.P. (
1
) |
Convertible Notes |
$
2.55 |
|
|
|
|
|
|
04/23/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
25,032 |
|
|
I |
By Gotham Green Fund I (Q), L.P. (
1
) |
Convertible Notes |
$
2.55 |
|
|
|
|
|
|
04/23/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
13,763 |
|
|
I |
By Gotham Green Fund II, L.P. (
1
) |
Convertible Notes |
$
2.55 |
|
|
|
|
|
|
04/23/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
80,105 |
|
|
I |
By Gotham Green Fund II (Q), L.P. (
1
) |
Convertible Notes |
$
2.55 |
|
|
|
|
|
|
05/22/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
4,816 |
|
|
I |
By Gotham Green Fund I, L.P. (
1
) |
Convertible Notes |
$
2.55 |
|
|
|
|
|
|
05/22/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
19,268 |
|
|
I |
By Gotham Green Fund I (Q), L.P. (
1
) |
Convertible Notes |
$
2.55 |
|
|
|
|
|
|
05/22/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
10,594 |
|
|
I |
By Gotham Green Fund II, L.P. (
1
) |
Convertible Notes |
$
2.55 |
|
|
|
|
|
|
05/22/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
61,659 |
|
|
I |
By Gotham Green Fund II (Q), L.P. (
1
) |
Convertible Notes |
$
2.55 |
|
|
|
|
|
|
05/22/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
323,197 |
|
|
I |
By Gotham Green SPV IV, L.P. (
1
) |
Convertible Notes |
$
2.17 |
|
|
|
|
|
|
07/12/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
3,202 |
|
|
I |
By Gotham Green Fund I, L.P. (
1
) |
Convertible Notes |
$
2.17 |
|
|
|
|
|
|
07/12/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
12,810 |
|
|
I |
By Gotham Green Fund I (Q), L.P. (
1
) |
Convertible Notes |
$
2.17 |
|
|
|
|
|
|
07/12/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
7,043 |
|
|
I |
By Gotham Green Fund II, L.P. (
1
) |
Convertible Notes |
$
2.17 |
|
|
|
|
|
|
07/12/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
40,993 |
|
|
I |
By Gotham Green Fund II (Q), L.P. (
1
) |
Convertible Notes |
$
2.17 |
|
|
|
|
|
|
07/12/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
93,816 |
|
|
I |
By Gotham Green SPV IV, L.P. (
1
) |
Convertible Notes |
$
0.778 |
|
|
|
|
|
|
11/27/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
24,998 |
|
|
I |
By Gotham Green Fund II, L.P. (
1
) |
Convertible Notes |
$
0.778 |
|
|
|
|
|
|
11/27/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
145,500 |
|
|
I |
By Gotham Green Fund II (Q), L.P. (
1
) |
Convertible Notes |
$
1.28 |
|
|
|
|
|
|
10/29/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
3,968 |
|
|
I |
By Gotham Green Fund I, L.P. (
1
) |
Convertible Notes |
$
1.28 |
|
|
|
|
|
|
10/29/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
15,875 |
|
|
I |
By Goth
am Green Fund I(Q), L.P. (
1
) |
Convertible Notes |
$
1.28 |
|
|
|
|
|
|
10/29/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
8,728 |
|
|
I |
By Gotham Green Fund II, L.P. (
1
) |
Convertible Notes |
$
1.28 |
|
|
|
|
|
|
10/29/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
50,802 |
|
|
I |
By Gotham Green Fund II (Q), L.P. (
1
) |
Convertible Notes |
$
1.28 |
|
|
|
|
|
|
10/29/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
116,265 |
|
|
I |
By Gotham Green SPV IV, L.P. (
1
) |
|