Annual Statement of Changes in Beneficial Ownership (5)
January 25 2021 - 2:40PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
1. Name and Address of Reporting Person
*
SMITH PETER JAMES | 2. Issuer Name and Ticker or Trading SymbolARGENTUM 47, INC. [ARGQ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
34 ST. AUGUSTINE'S GATE, HEDON, HU12 8EX | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2020 |
(Street)
HULL, X0 000
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Common Stock | | | | | | | 114705185 | D | |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Series B Preferred Stock | $0 | | | | | | 12/31/2022 | (1) | Common Stock | 164675000 (2) | | 16467500 | D | |
Series C Preferred Stock | $0 | | | | | | 12/31/2022 | (3) | Common Stock | 218944400 (4) | | 2189444 | D | |
Explanation of Responses: |
(1) | The conversion provision and right to convert are perpetual. |
(2) | Each share of Series B Preferred Stock has 10 votes on all matters brought before meetings of shareholders, vote alongside holders of Common Stock and not as a separate class. As part of a funding agreement with a lender, Mr. Smith agreed to lock-in and not convert any of his Series B Preferred Stock prior to December 31, 2022. |
(3) | The conversion provision and right to convert are perpetual. |
(4) | Each share of Series C Preferred Stock has 100 votes on all matters brought before meetings of shareholders, vote alongside holders of Common Stock and not as a separate class. As part of a funding agreement with a lender, Mr. Smith agreed to lock-in and not convert any of his Series C Preferred Stock prior to December 31, 2022. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SMITH PETER JAMES 34 ST. AUGUSTINE'S GATE, HEDON, HU12 8EX HULL, X0 000 | X | X |
|
|
Signatures
|
/s/ Peter James Smith | | 1/25/2021 |
**Signature of Reporting Person | Date |
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