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
|
Convertible Note (
1
) |
$
0.2 |
01/11/2021 |
|
H(
2
) |
|
|
540,265 |
09/14/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
540,265 |
(
3
) |
0 |
I (
4
) |
By Gotham Green Fund II(Q) LP. (
5
) |
Convertible Note (
6
) |
$
0.1529 |
01/11/2021 |
|
J(
7
)
|
|
655,341 |
|
09/14/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
655,341 |
(
3
) |
655,341 |
I |
By Gotham Green Fund II(Q) LP. (
5
) |
Convertible Note (
6
) |
$
0.1529 |
01/11/2021 |
|
J(
8
) |
|
322,061 |
|
07/02/2021 |
04/23/2022 |
Class B Subordinate Voting Shares |
322,061 |
(
3
) |
322,061 |
I |
By Gotham Green Fund II(Q) LP. (
5
) |
Convertible Note (
6
) |
$
2.55 |
01/11/2021 |
|
H(
9
) |
|
|
77,100 |
04/23/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
77,100 |
(
3
) |
0 |
I |
By Gotham Green Fund II(Q) LP. (
5
) |
Convertible Note (
6
) |
$
2.55 |
01/11/2021 |
|
H(
9
) |
|
|
59,347 |
05/22/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
59,347 |
(
3
) |
0 |
I |
By Gotham Green Fund II(Q) LP. (
5
) |
Convertible Note (
6
) |
$
2.17 |
01/11/2021 |
|
H(
9
) |
|
|
39,455 |
07/12/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
39,455 |
(
3
) |
0 |
I |
By Gotham Green Fund II(Q) LP. (
5
) |
Convertible Note (
6
) |
$
0.778 |
01/11/2021 |
|
H(
9
) |
|
|
140,042 |
11/27/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
140,042 |
(
3
) |
0 |
I |
By Gotham Green Fund II(Q) LP. (
5
) |
Convertible Note (
6
) |
$
1.28 |
01/11/2021 |
|
H(
9
) |
|
|
48,896 |
10/29/2019 |
04/23/2022 |
Class B Subordinate Voting Shares |
48,896 |
(
3
) |
0 |
I |
By Gotham Green Fund II(Q) LP. (
5
) |
Convertible Note (
6
) |
$
0.17 |
01/11/2021 |
|
J(
10
) |
|
3,300,762 |
|
(
10
) |
04/23/2022 |
Class B Subordinate Voting Shares |
3,300,762 |
(
3
) |
3,300,762 |
I |
By Gotham Green Fund II(Q) LP. (
5
) |
Convertible Note (
6
) |
$
0.17 |
01/11/2021 |
|
J(
11
) |
|
1,622,127 |
|
07/02/2021 |
04/23/2022 |
Class B Subordinate Voting Shares |
1,622,127 |
(
3
) |
1,622,127 |
I |
By Gotham Green Fund II(Q) LP. (
5
) |
Convertible Note (
6
) |
$
0.1608 |
01/11/2021 |
|
J(
12
) |
|
11,842,865 |
|
01/11/2021 |
04/23/2022 |
Class B Subordinate Voting Shares |
11,842,865 |
(
3
) |
11,842,865 |
I |
By Gotham Green Fund II(Q) LP. (
5
) |
Convertible Note (
6
) |
$
0.34 |
01/11/2021 |
|
H(
13
) |
|
|
2,818,921 |
06/30/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
2,818,921 |
(
3
) |
5,736,039 |
I |
By Gotham Green Partners IV, L.P. (
5
) |
Convertible Note (
6
) |
$
0.34 |
01/11/2021
|
|
J(
14
) |
|
2,818,921 |
|
07/02/2021 |
04/23/2022 |
Class B Subordinate Voting Shares |
2,818,921 |
(
3
) |
2,818,921 |
I |
By Gotham Green Partners IV, L.P. (
5
) |
Convertible Note (
6
) |
$
0.26 |
01/11/2021 |
|
H(
2
) |
|
|
2,657,073 |
03/27/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
2,657,073 |
(
3
) |
0 |
I |
By Gotham Green Partners IV, L.P. (
5
) |
Convertible Note (
6
) |
$
0.1529 |
01/11/2021 |
|
J(
7
) |
|
4,203,221 |
|
03/27/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
4,203,221 |
(
3
) |
4,203,221 |
I |
By Gotham Green Partners IV, L.P. (
5
) |
Convertible Note (
6
) |
$
0.1529 |
01/11/2021 |
|
J(
8
) |
|
2,059,183 |
|
07/02/2021 |
04/23/2022 |
Class B Subordinate Voting Shares |
2,059,183 |
(
3
) |
2,059,183 |
I |
BBy Gotham Green Partners IV, L.P. (
5
) |
Convertible Note (
6
) |
$
0.26 |
01/11/2021 |
|
H(
2
) |
|
|
388,880 |
04/24/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
388,880 |
(
3
) |
0 |
I |
By Gotham Green Partners IV, L.P. (
5
) |
Convertible Note (
6
) |
$
0.1529 |
01/11/2021 |
|
J(
7
) |
|
613,226 |
|
04/24/2020 |
04/23/2022 |
Class B Subordinate Voting Shares |
613,226 |
(
3
) |
613,226 |
I |
By Gotham Green Partners IV, L.P. |
Convertible Note (
6
) |
$
0.1529 |
01/11/2021 |
|
J(
8
) |
|
301,364 |
|
07/02/2021 |
04/23/2022 |
Class B Subordinate Voting Shares |
301,364 |
(
3
) |
301,364 |
I |
By Gotham Green Partners IV, L.P. |
Convertible Note (
6
) |
$
0.2845 |
01/11/2021 |
|
H(
13
) |
|
|
3,132,451 |
09/14/2021 |
04/23/2022 |
Class B Subordinate Voting Shares |
3,132,451 |
(
3
) |
0 |
I |
By Gotham Green Partners IV, L.P. (
5
) |
Convertible Note (
6
) |
$
0.2845 |
01/11/2021 |
|
J(
14
) |
|
3,132,451 |
|
07/02/2021 |
04/23/2022 |
Class B Subordinate Voting Shares |
3,132,451 |
(
3
) |
3,132,451 |
I |
By Gotham Green Partners IV, L.P. (
5
) |
|