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Rothrock David B.

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125804
SEC CIK
0001811128

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CompanyLast reported asReport datePublished
Investview, Inc.INVU · Entity 7528Director · 10% ownerJune 24, 2022June 28, 2022

Disclosed balances

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Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Investview, Inc.

Report date June 24, 2022 · Filed June 28, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.001 par valueSEC Table I · non-derivativeDirect11,466,666 Reported balance After 2022-06-24 transaction · row 1
1 source row

Row 1 · 2022-06-24 · Disposition to issuer · Disposed 33,333,334 · Balance 11,466,666

F1: Disposition to the issuer of restricted stock under Rule 16b-3(e) in exchange for option granted 6/24/2022. See note (2).

Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.05 · Expires 2029-06-24Direct43,750,000 Reported balance After 2022-06-24 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2022-06-24 · Grant · Acquired 43,750,000 · Balance 43,750,000

F2: Acquisition from the issuer of option under Rule 16b-3(d) in exchange for restricted stock and in consideration of Mr. Rothrock's services as a director of the Company. Option issued pursuant to the Company's 2022 Incentive Plan. Option has multiple vesting dates, as follows: 8,750,000 shares of common stock vest on February 3, 2023; 8,750,000 shares of common stock vest on February 3, 2024; 8,750,000 shares of common stock vest on February 3, 2025; 8,750,000 shares of common stock vest on February 3, 2026; 8,750,000 shares of common stock vest on February 3, 2027.

Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.05 · Expires 2029-06-24Direct85,416,668 Reported balance After 2022-06-24 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2022-06-24 · Grant · Acquired 41,666,668 · Balance 85,416,668

F3: Acquisition from the issuer of option under Rule 16b-3(d) in consideration of Mr. Rothrock's services as a director of the Company and pursuant to the Company's 2022 Incentive Plan. Option has multiple vesting dates, as follows: 20,833,333 shares of common stock vest on November 9, 2022; 20,833,335 shares of common stock vest on November 9, 2023.

Filing footnotes · ownership attribution and instrument terms

F1: Disposition to the issuer of restricted stock under Rule 16b-3(e) in exchange for option granted 6/24/2022. See note (2).

F2: Acquisition from the issuer of option under Rule 16b-3(d) in exchange for restricted stock and in consideration of Mr. Rothrock's services as a director of the Company. Option issued pursuant to the Company's 2022 Incentive Plan. Option has multiple vesting dates, as follows: 8,750,000 shares of common stock vest on February 3, 2023; 8,750,000 shares of common stock vest on February 3, 2024; 8,750,000 shares of common stock vest on February 3, 2025; 8,750,000 shares of common stock vest on February 3, 2026; 8,750,000 shares of common stock vest on February 3, 2027.

F3: Acquisition from the issuer of option under Rule 16b-3(d) in consideration of Mr. Rothrock's services as a director of the Company and pursuant to the Company's 2022 Incentive Plan. Option has multiple vesting dates, as follows: 20,833,333 shares of common stock vest on November 9, 2022; 20,833,335 shares of common stock vest on November 9, 2023.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 24, 2022 Filed Jun 28, 2022 23:44 UTC Investview, Inc. INVU · Entity 7528 GrantEmployee Stock Option · Derivative 41,666,668 $0.00 Strike: $0.05 $0.00
Disclosure

SEC source: 0001493152-22-018011 · ownership.xml · derivative · entry 3

Rothrock David B. · CIK 0001811128 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,416,668

Underlying: Common Stock · 41,666,668 shares

Expires 2029-06-24

F3 · price: Acquisition from the issuer of option under Rule 16b-3(d) in consideration of Mr. Rothrock's services as a director of the Company and pursuant to the Company's 2022 Incentive Plan. Option has multiple vesting dates, as follows: 20,833,333 shares of common stock vest on November 9, 2022; 20,833,335 shares of common stock vest on November 9, 2023.

F3 · derivative.exercise_date: Acquisition from the issuer of option under Rule 16b-3(d) in consideration of Mr. Rothrock's services as a director of the Company and pursuant to the Company's 2022 Incentive Plan. Option has multiple vesting dates, as follows: 20,833,333 shares of common stock vest on November 9, 2022; 20,833,335 shares of common stock vest on November 9, 2023.

Read SEC document
June 24, 2022 Filed Jun 28, 2022 23:44 UTC Investview, Inc. INVU · Entity 7528 GrantEmployee Stock Option · Derivative 43,750,000 $0.00 Strike: $0.05 $0.00
Disclosure

SEC source: 0001493152-22-018011 · ownership.xml · derivative · entry 2

Rothrock David B. · CIK 0001811128 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,750,000

Underlying: Common Stock · 43,750,000 shares

Expires 2029-06-24

F2 · price: Acquisition from the issuer of option under Rule 16b-3(d) in exchange for restricted stock and in consideration of Mr. Rothrock's services as a director of the Company. Option issued pursuant to the Company's 2022 Incentive Plan. Option has multiple vesting dates, as follows: 8,750,000 shares of common stock vest on February 3, 2023; 8,750,000 shares of common stock vest on February 3, 2024; 8,750,000 shares of common stock vest on February 3, 2025; 8,750,000 shares of common stock vest on February 3, 2026; 8,750,000 shares of common stock vest on February 3, 2027.

F2 · derivative.exercise_date: Acquisition from the issuer of option under Rule 16b-3(d) in exchange for restricted stock and in consideration of Mr. Rothrock's services as a director of the Company. Option issued pursuant to the Company's 2022 Incentive Plan. Option has multiple vesting dates, as follows: 8,750,000 shares of common stock vest on February 3, 2023; 8,750,000 shares of common stock vest on February 3, 2024; 8,750,000 shares of common stock vest on February 3, 2025; 8,750,000 shares of common stock vest on February 3, 2026; 8,750,000 shares of common stock vest on February 3, 2027.

Read SEC document
June 24, 2022 Filed Jun 28, 2022 23:44 UTC Investview, Inc. INVU · Entity 7528 Disposition to issuerCommon Stock, $0.001 par value 33,333,334 $0.00 $0.00
Disclosure

SEC source: 0001493152-22-018011 · ownership.xml · nonDerivative · entry 1

Rothrock David B. · CIK 0001811128 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,466,666

F1 · price: Disposition to the issuer of restricted stock under Rule 16b-3(e) in exchange for option granted 6/24/2022. See note (2).

Read SEC document
December 27, 2021 Filed Apr 11, 2022 23:21 UTC Investview, Inc. INVU · Entity 7528 Tax withholdingCommon Stock, $0.001 par value 5,200,000 $0.04 $208,000.00
Disclosure

SEC source: 0001493152-22-009645 · ownership.xml · nonDerivative · entry 2

Rothrock David B. · CIK 0001811128 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,800,000

F1 · shares: Surrendered to Investview, Inc. at $0.04 per share for payment of taxes due upon vesting of 16,666,666 shares.

Read SEC document
September 03, 2021 Filed Apr 11, 2022 23:21 UTC Investview, Inc. INVU · Entity 7528 PurchaseRedeemable Non-voting Membership Interests · Derivative 56,500,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-22-009645 · ownership.xml · derivative · entry 8

Rothrock David B. · CIK 0001811128 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 565,000,000

Underlying: Common Stock · 565,000,000 shares

Expires not disclosed

F6 · derivative.exercise_price: The Redeemable Non-voting Membership Interests in Investview Financial Group Holdings, LLC, a wholly owned subsidiary of Investview, Inc., are redeemable on a one-for-one basis into shares of Common Stock of Investview, Inc., any time after six months from the date of issuance at the election of the holder. If unredeemed by the holder, Investview, Inc., may force redemption at any time after five years from the date of issuance.

F6 · price: The Redeemable Non-voting Membership Interests in Investview Financial Group Holdings, LLC, a wholly owned subsidiary of Investview, Inc., are redeemable on a one-for-one basis into shares of Common Stock of Investview, Inc., any time after six months from the date of issuance at the election of the holder. If unredeemed by the holder, Investview, Inc., may force redemption at any time after five years from the date of issuance.

F6 · derivative.exercise_date: The Redeemable Non-voting Membership Interests in Investview Financial Group Holdings, LLC, a wholly owned subsidiary of Investview, Inc., are redeemable on a one-for-one basis into shares of Common Stock of Investview, Inc., any time after six months from the date of issuance at the election of the holder. If unredeemed by the holder, Investview, Inc., may force redemption at any time after five years from the date of issuance.

F6 · derivative.expiration_date: The Redeemable Non-voting Membership Interests in Investview Financial Group Holdings, LLC, a wholly owned subsidiary of Investview, Inc., are redeemable on a one-for-one basis into shares of Common Stock of Investview, Inc., any time after six months from the date of issuance at the election of the holder. If unredeemed by the holder, Investview, Inc., may force redemption at any time after five years from the date of issuance.

F7 · ownership.nature: These securities are held of record by MPower Trading Systems LLC ("MPower"). The Reporting Person is the sole managing member of MPower. By virtue of such relationship, the Reporting Person may be deemed to have voting and investment power with respect to the securities held by MPower as noted above and as a result may be deemed to have beneficial ownership over such securities. Each of the Reporting Person and MPower disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
November 09, 2020 Filed Apr 11, 2022 23:21 UTC Investview, Inc. INVU · Entity 7528 PurchaseConvertible Secured Promissory Note · Derivative Not disclosed Not disclosed Strike: $0.01 $1,300,000.00
Disclosure

SEC source: 0001493152-22-009645 · ownership.xml · derivative · entry 7

Rothrock David B. · CIK 0001811128 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · 185,714,286 shares

Expires not disclosed

F5 · derivative.exercise_price: The Convertible Secured Promissory Note (the "Note") is convertible from time to time, at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. "Conversion Amount" means the sum of (1) the principal amount of the Note to be converted in the conversion plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any, on the amounts referred to in the immediately preceding clauses (1) and/or (2). "Conversion Price" initially equals $0.007 and is subject to adjustment as set forth in the Note. The unpaid principal balance of the Note initially bears interest at a rate of 38.5% per annum, composed of an interest rate of 25% per annum and a facility fee of 13.5% per annum. The Note matures on April 27, 2030.

F5 · price: The Convertible Secured Promissory Note (the "Note") is convertible from time to time, at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. "Conversion Amount" means the sum of (1) the principal amount of the Note to be converted in the conversion plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any, on the amounts referred to in the immediately preceding clauses (1) and/or (2). "Conversion Price" initially equals $0.007 and is subject to adjustment as set forth in the Note. The unpaid principal balance of the Note initially bears interest at a rate of 38.5% per annum, composed of an interest rate of 25% per annum and a facility fee of 13.5% per annum. The Note matures on April 27, 2030.

F5 · derivative.exercise_date: The Convertible Secured Promissory Note (the "Note") is convertible from time to time, at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. "Conversion Amount" means the sum of (1) the principal amount of the Note to be converted in the conversion plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any, on the amounts referred to in the immediately preceding clauses (1) and/or (2). "Conversion Price" initially equals $0.007 and is subject to adjustment as set forth in the Note. The unpaid principal balance of the Note initially bears interest at a rate of 38.5% per annum, composed of an interest rate of 25% per annum and a facility fee of 13.5% per annum. The Note matures on April 27, 2030.

F5 · derivative.expiration_date: The Convertible Secured Promissory Note (the "Note") is convertible from time to time, at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. "Conversion Amount" means the sum of (1) the principal amount of the Note to be converted in the conversion plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any, on the amounts referred to in the immediately preceding clauses (1) and/or (2). "Conversion Price" initially equals $0.007 and is subject to adjustment as set forth in the Note. The unpaid principal balance of the Note initially bears interest at a rate of 38.5% per annum, composed of an interest rate of 25% per annum and a facility fee of 13.5% per annum. The Note matures on April 27, 2030.

F5 · derivative.underlying_shares: The Convertible Secured Promissory Note (the "Note") is convertible from time to time, at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. "Conversion Amount" means the sum of (1) the principal amount of the Note to be converted in the conversion plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any, on the amounts referred to in the immediately preceding clauses (1) and/or (2). "Conversion Price" initially equals $0.007 and is subject to adjustment as set forth in the Note. The unpaid principal balance of the Note initially bears interest at a rate of 38.5% per annum, composed of an interest rate of 25% per annum and a facility fee of 13.5% per annum. The Note matures on April 27, 2030.

F4 · ownership.nature: These securities are held of record by DBR Capital, LLC ("DBR Capital"). The Reporting Person is the sole managing member of DBR Capital. By virtue of such relationship, the Reporting Person may be deemed to have voting and investment power with respect to the securities held by DBR Capital as noted above and as a result may be deemed to have beneficial ownership over such securities. Each of the Reporting Person and DBR Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
November 09, 2020 Filed Apr 11, 2022 23:21 UTC Investview, Inc. INVU · Entity 7528 PurchaseConvertible Secured Promissory Note · Derivative Not disclosed Not disclosed Strike: $0.01 $700,000.00
Disclosure

SEC source: 0001493152-22-009645 · ownership.xml · derivative · entry 6

Rothrock David B. · CIK 0001811128 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · 100,000,000 shares

Expires not disclosed

F3 · derivative.exercise_price: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F3 · price: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F3 · derivative.exercise_date: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F3 · derivative.expiration_date: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F3 · derivative.underlying_shares: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F4 · ownership.nature: These securities are held of record by DBR Capital, LLC ("DBR Capital"). The Reporting Person is the sole managing member of DBR Capital. By virtue of such relationship, the Reporting Person may be deemed to have voting and investment power with respect to the securities held by DBR Capital as noted above and as a result may be deemed to have beneficial ownership over such securities. Each of the Reporting Person and DBR Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
November 09, 2020 Filed Apr 11, 2022 23:21 UTC Investview, Inc. INVU · Entity 7528 OtherConvertible Secured Promissory Note · Derivative Not disclosed Not disclosed Strike: $0.01 $700,000.00
Disclosure

SEC source: 0001493152-22-009645 · ownership.xml · derivative · entry 5

Rothrock David B. · CIK 0001811128 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · 55,681,818 shares

Expires not disclosed

F3 · derivative.exercise_price: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F3 · price: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F3 · derivative.exercise_date: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F3 · derivative.expiration_date: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F3 · derivative.underlying_shares: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F4 · ownership.nature: These securities are held of record by DBR Capital, LLC ("DBR Capital"). The Reporting Person is the sole managing member of DBR Capital. By virtue of such relationship, the Reporting Person may be deemed to have voting and investment power with respect to the securities held by DBR Capital as noted above and as a result may be deemed to have beneficial ownership over such securities. Each of the Reporting Person and DBR Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
November 09, 2020 Filed Apr 11, 2022 23:21 UTC Investview, Inc. INVU · Entity 7528 PurchaseConvertible Secured Promissory Note · Derivative Not disclosed Not disclosed Strike: $0.01 $1,300,000.00
Disclosure

SEC source: 0001493152-22-009645 · ownership.xml · derivative · entry 4

Rothrock David B. · CIK 0001811128 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · 185,714,286 shares

Expires not disclosed

F2 · derivative.exercise_price: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $1,300,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F2 · price: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $1,300,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F2 · derivative.exercise_date: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $1,300,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F2 · derivative.expiration_date: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $1,300,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F2 · derivative.underlying_shares: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $1,300,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F4 · ownership.nature: These securities are held of record by DBR Capital, LLC ("DBR Capital"). The Reporting Person is the sole managing member of DBR Capital. By virtue of such relationship, the Reporting Person may be deemed to have voting and investment power with respect to the securities held by DBR Capital as noted above and as a result may be deemed to have beneficial ownership over such securities. Each of the Reporting Person and DBR Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act or for any other purpose.

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November 09, 2020 Filed Apr 11, 2022 23:21 UTC Investview, Inc. INVU · Entity 7528 OtherConvertible Secured Promissory Note · Derivative Not disclosed Not disclosed Strike: $0.01 $1,300,000.00
Disclosure

SEC source: 0001493152-22-009645 · ownership.xml · derivative · entry 3

Rothrock David B. · CIK 0001811128 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · 103,409,091 shares

Expires not disclosed

F2 · derivative.exercise_price: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $1,300,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F2 · price: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $1,300,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F2 · derivative.exercise_date: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $1,300,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F2 · derivative.expiration_date: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $1,300,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F2 · derivative.underlying_shares: The transactions reported in Table II involved the amendment of a Convertible Secured Promissory Note (the "Note") to reduce the conversion price from $0.012571428571429 to $0.007 per share. The Note is convertible at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. Conversion Amount means the sum of (1) the principal amount of the Note to be converted plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any. Conversion Price equals $0.007 per share and is subject to adjustment as set forth in the Note. The principal amount of the Note is $1,300,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F4 · ownership.nature: These securities are held of record by DBR Capital, LLC ("DBR Capital"). The Reporting Person is the sole managing member of DBR Capital. By virtue of such relationship, the Reporting Person may be deemed to have voting and investment power with respect to the securities held by DBR Capital as noted above and as a result may be deemed to have beneficial ownership over such securities. Each of the Reporting Person and DBR Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act or for any other purpose.

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November 09, 2020 Filed Apr 11, 2022 23:21 UTC Investview, Inc. INVU · Entity 7528 Disposition to issuerCommon Stock, $0.001 par value 50,000,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-22-009645 · ownership.xml · nonDerivative · entry 1

Rothrock David B. · CIK 0001811128 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000,000

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May 27, 2020 Filed May 28, 2020 17:57 UTC Investview, Inc. INVU · Entity 7528 PurchaseConvertible Secured Promissory Note · Derivative Not disclosed $700,000.00 Strike: $0.01 $700,000.00
Disclosure

SEC source: 0001493152-20-010013 · ownership.xml · derivative · entry 1

Rothrock David B. · CIK 0001811128 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: Not disclosed

Underlying: Common Stock · 55,681,818 shares

Expires not disclosed

F1 · derivative.exercise_price: The Convertible Secured Promissory Note (the "Note") is convertible from time to time, at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. "Conversion Amount" means the sum of (1) the principal amount of the Note to be converted in the conversion plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any, on the amounts referred to in the immediately preceding clauses (1) and/or (2). "Conversion Price" initially equals $0.012571428571429 per share of Common Stock and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F1 · derivative.exercise_date: The Convertible Secured Promissory Note (the "Note") is convertible from time to time, at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. "Conversion Amount" means the sum of (1) the principal amount of the Note to be converted in the conversion plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any, on the amounts referred to in the immediately preceding clauses (1) and/or (2). "Conversion Price" initially equals $0.012571428571429 per share of Common Stock and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F1 · derivative.expiration_date: The Convertible Secured Promissory Note (the "Note") is convertible from time to time, at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. "Conversion Amount" means the sum of (1) the principal amount of the Note to be converted in the conversion plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any, on the amounts referred to in the immediately preceding clauses (1) and/or (2). "Conversion Price" initially equals $0.012571428571429 per share of Common Stock and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F1 · derivative.underlying_shares: The Convertible Secured Promissory Note (the "Note") is convertible from time to time, at the option of the holder thereof or, if certain conditions are met, the Issuer, into a number of shares of common stock of the Issuer (the "Common Stock"), equal to the Conversion Amount divided by the applicable Conversion Price. "Conversion Amount" means the sum of (1) the principal amount of the Note to be converted in the conversion plus (2) accrued and unpaid interest, if any, on such principal amount at the interest rates provided in the Note on the date of conversion, plus (3) default interest, if any, on the amounts referred to in the immediately preceding clauses (1) and/or (2). "Conversion Price" initially equals $0.012571428571429 per share of Common Stock and is subject to adjustment as set forth in the Note. The principal amount of the Note is $700,000. The unpaid principal balance of the Note initially bears interest at a rate of 20% per annum. The Note matures on April 27, 2030.

F2 · ownership.nature: These securities are held of record by DBR Capital, LLC ("DBR Capital"). The Reporting Person is the sole managing member of DBR Capital. By virtue of such relationship, the Reporting Person may be deemed to have voting and investment power with respect to the securities held by DBR Capital as noted above and as a result may be deemed to have beneficial ownership over such securities. Each of the Reporting Person and DBR Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act or for any other purpose.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.