Filing Details
- Accession Number:
- 0001654954-21-009682
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-09-01 20:22:15
- Reporting Period:
- 2021-08-30
- Accepted Time:
- 2021-09-01 20:22:15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1838128 | Lowell Farms Inc. | LOWLF | Agricultural Production-Crops (100) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1861410 | Brian Shure | C/O Lowell Farms Inc. 19 Quail Run Circle, Suite B Salinas CA 93907 | Chief Financial Officer | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Subordinate Voting Shares | Acquisiton | 2021-08-30 | 1,700,000 | $0.00 | 1,882,000 | No | 4 | P | Indirect | see footnote |
| Subordinate Voting Shares | Acquisiton | 2021-08-30 | 400,000 | $0.00 | 400,000 | No | 4 | P | Indirect | see footnote |
| Subordinate Voting Shares | Acquisiton | 2021-08-30 | 100,000 | $0.00 | 100,000 | No | 4 | P | Indirect | see footnote |
| Subordinate Voting Shares | Acquisiton | 2021-08-30 | 300,000 | $0.00 | 300,000 | No | 4 | P | Indirect | see footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | see footnote |
| No | 4 | P | Indirect | see footnote |
| No | 4 | P | Indirect | see footnote |
| No | 4 | P | Indirect | see footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Subordinate Voting Shares | Warrants (rights to buy) | Acquisiton | 2021-08-30 | 850,000 | $0.00 | 850,000 | $1.40 |
| Subordinate Voting Shares | Warrants (rights to buy) | Acquisiton | 2021-08-30 | 200,000 | $0.00 | 200,000 | $1.40 |
| Subordinate Voting Shares | Warrants (rights to buy) | Acquisiton | 2021-08-30 | 50,000 | $0.00 | 50,000 | $1.40 |
| Subordinate Voting Shares | Warrants (rights to buy) | Acquisiton | 2021-08-30 | 150,000 | $0.00 | 150,000 | $1.40 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 850,000 | 2021-08-30 | 2024-08-30 | No | 4 | P | Indirect |
| 200,000 | 2021-08-30 | 2024-08-30 | No | 4 | P | Indirect |
| 50,000 | 2021-08-30 | 2024-08-30 | No | 4 | P | Indirect |
| 150,000 | 2021-08-30 | 2024-08-30 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Subordinate Voting Shares | 34,776 | Direct |
Footnotes
- The reported securities are included within 1,700,000 units purchased for $1.00 per Unit. Each Unit consists of one Subordinate Voting Share and one half of one share purchase warrant.
- Held by Ambrose Capital Holdings, LP. Mr. Shure is the President of Ambrose Capital Partners, LLC, which is the general partner of Ambrose Capital Holdings, LP. Mr. Shure disclaims beneficial ownership of the securities held by Ambrose Capital Holdings, LP except to the extent of his pecuniary interest therein.
- The reported securities are included within 400,000 units purchased for $1.00 per Unit. Each Unit consists of one Subordinate Voting Share and one half of one share purchase warrant.
- Held by AMTG Holdings, LLLP. Mr. Shure is the President of AMTG Management, Inc., which is the general partner of AMTG Holdings, LLLP. Mr. Shure disclaims beneficial ownership of the securities held by AMTG Holdings, LLLP except to the extent of his pecuniary interest therein.
- The reported securities are included within 100,000 units purchased for $1.00 per Unit. Each Unit consists of one Subordinate Voting Share and one half of one share purchase warrant.
- Held by HSK Holdings, LLC. Mr. Shure is the Managing Member of HSK Holdings, LLC. Mr. Shure disclaims beneficial ownership of the securities held by HSK Holdings, LLC except to the extent of his pecuniary interest therein.
- The reported securities are included within 300,000 units purchased for $1.00 per Unit. Each Unit consists of one Subordinate Voting Share and one half of one share purchase warrant.
- Held by the Brian K. Shure Charitable Lead Annuity Trust, of which the reporting person is the trustee and of which the reporting person's three children are the beneficiaries.
Billionaire Hedge Funds
