Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TREES Corp (Colorado)CANN · Entity 9666 | Director · 10% owner | December 23, 2020 | December 28, 2020 |
Disclosed balances
About these balances
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.
TREES Corp (Colorado)
Report date December 23, 2020 · Filed December 28, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Senior Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2023-12-23 | Direct | 76,923 |
Reported balance
After 2020-12-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-12-23 · Purchase · Acquired 76,923 · Balance 76,923 F1: Pursuant to a Securities Purchase Agreement ("SPA") entered into on December 23, 2020 by the Reporting Person and the Issuer, each Senior Convertible Promissory Note (the "Note") accrues interest at a rate of 10% per annum. The Reporting Person purchased a Note in the principal amount of $100,000 and has the option to convert up to 50% of the outstanding unpaid principal and accrued interest of the Note into the Issuer's Common Stock at a variable price of 80% of the market price but no less than $0.65 per share and no more than $1.00 per share. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.56 · Expires 2025-12-23 | Direct | 35,715 |
Reported balance
After 2020-12-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-12-23 · Purchase · Acquired 35,715 · Balance 35,715 F2: In connection with the SPA, the Reporting Person also received Warrants to purchase the number of shares of the Issuer's Common Stock equal to 20% of the principal amount of the Note divided by the exercise price of $0.56. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to a Securities Purchase Agreement ("SPA") entered into on December 23, 2020 by the Reporting Person and the Issuer, each Senior Convertible Promissory Note (the "Note") accrues interest at a rate of 10% per annum. The Reporting Person purchased a Note in the principal amount of $100,000 and has the option to convert up to 50% of the outstanding unpaid principal and accrued interest of the Note into the Issuer's Common Stock at a variable price of 80% of the market price but no less than $0.65 per share and no more than $1.00 per share.
F2: In connection with the SPA, the Reporting Person also received Warrants to purchase the number of shares of the Issuer's Common Stock equal to 20% of the principal amount of the Note divided by the exercise price of $0.56.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 23, 2020 Filed Dec 28, 2020 20:03 UTC | TREES Corp (Colorado) CANN · Entity 9666 | PurchaseWarrants · Derivative | 35,715 | Not disclosed Strike: $0.56 | Not disclosed |
DisclosureSEC source: 0001415889-20-003041 · form4-12282020_051256.xml · derivative · entry 2 HERSHEY ADAM · CIK 0001440975 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,715 Underlying: Common stock · 35,715 shares Expires 2025-12-23 F2 · price: In connection with the SPA, the Reporting Person also received Warrants to purchase the number of shares of the Issuer's Common Stock equal to 20% of the principal amount of the Note divided by the exercise price of $0.56. Read SEC document |
| December 23, 2020 Filed Dec 28, 2020 20:03 UTC | TREES Corp (Colorado) CANN · Entity 9666 | PurchaseSenior Convertible Promissory Note · Derivative | 76,923 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0001415889-20-003041 · form4-12282020_051256.xml · derivative · entry 1 HERSHEY ADAM · CIK 0001440975 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,923 Underlying: Common stock · 76,923 shares Expires 2023-12-23 F1 · derivative.exercise_price: Pursuant to a Securities Purchase Agreement ("SPA") entered into on December 23, 2020 by the Reporting Person and the Issuer, each Senior Convertible Promissory Note (the "Note") accrues interest at a rate of 10% per annum. The Reporting Person purchased a Note in the principal amount of $100,000 and has the option to convert up to 50% of the outstanding unpaid principal and accrued interest of the Note into the Issuer's Common Stock at a variable price of 80% of the market price but no less than $0.65 per share and no more than $1.00 per share. F1 · price: Pursuant to a Securities Purchase Agreement ("SPA") entered into on December 23, 2020 by the Reporting Person and the Issuer, each Senior Convertible Promissory Note (the "Note") accrues interest at a rate of 10% per annum. The Reporting Person purchased a Note in the principal amount of $100,000 and has the option to convert up to 50% of the outstanding unpaid principal and accrued interest of the Note into the Issuer's Common Stock at a variable price of 80% of the market price but no less than $0.65 per share and no more than $1.00 per share. Read SEC document |
| December 11, 2020 Filed Dec 15, 2020 20:14 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantWarrants to purchase common stock · Derivative | 1,087,333 | $0.00 Strike: $0.49 | $0.00 |
DisclosureSEC source: 0001415889-20-002905 · form4-12152020_051202.xml · derivative · entry 2 HERSHEY ADAM · CIK 0001440975 · Director · 10% owner Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner Hershey Management IV, LLC · CIK 0001814077 · 10% owner Shore Ventures III, LP · CIK 0001721551 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,087,333 Underlying: Common stock · 1,087,333 shares Expires 2025-12-11 F3 · ownership.nature: Represents warrants to purchase shares of the common stock of the Issuer, that were acquired by Shore Ventures on December 11, 2020 pursuant to a Subscription Agreement dated as of May 29, 2020 among HSC LP, Shore Ventures and the Issuer. Such shares of common stock and warrants are held directly by Shore Ventures. Hershey Management IV, LLC is the general partner of Shore Ventures. Adam Hershey is the sole managing member of Hershey Management IV, LLC. As the general partner of Shore Ventures, Hershey Management IV, LLC, which is controlled by Mr. Hershey, has the voting and dispositive power with respect to all of the securities of the Issuer owned by Shore Ventures. Each of Hershey Management IV, LLC and Adam Hershey disclaims beneficial ownership in the securities of the Issuer held directly by Shore Ventures except to the extent of its pecuniary interest therein. Read SEC document |
| December 11, 2020 Filed Dec 15, 2020 20:14 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantWarrants to purchase common stock · Derivative | 543,667 | $0.00 Strike: $0.49 | $0.00 |
DisclosureSEC source: 0001415889-20-002905 · form4-12152020_051202.xml · derivative · entry 1 HERSHEY ADAM · CIK 0001440975 · Director · 10% owner Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner Hershey Management IV, LLC · CIK 0001814077 · 10% owner Shore Ventures III, LP · CIK 0001721551 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 543,667 Underlying: Common stock · 543,667 shares Expires 2025-12-11 F1 · ownership.nature: Represents warrants to purchase shares of the common stock of the Issuer, that were acquired by Hershey Strategic Capital, LP ("HSC LP") on December 11, 2020 pursuant to a Subscription Agreement dated as of May 29, 2020 among HSC LP, Shore Ventures III, LP ("Shore Ventures") and the Issuer. Such warrants are held directly by HSC LP. Hershey Management I, LLC is the investment advisor of HSC LP. Hershey Strategic Capital GP, LLC is the general partner of HSC LP. (continue with footnote 2) F2 · ownership.nature: Adam Hershey is the sole managing member of both Hershey Management I, LLC and Hershey Strategic Capital GP, LLC. As the investment advisor of HSC LP, Hershey Management I, LLC, which is controlled by Mr. Hershey, has the voting and dispositive power with respect to all of the securities of the Issuer owned by HSC LP. Each of Hershey Management I, LLC, Hershey Strategic Capital GP, LLC and Adam Hershey disclaims beneficial ownership in the securities of the Issuer held directly by HSC LP except to the extent of its pecuniary interest therein. Read SEC document |
| December 11, 2020 Filed Dec 16, 2020 16:51 UTC Amendment | TREES Corp (Colorado) CANN · Entity 9666 | GrantWarrants to purchase common stock · Derivative | 1,087,333 | $0.00 Strike: $0.49 | $0.00 |
DisclosureSEC source: 0001104659-20-136363 · a4a.xml · derivative · entry 2 HERSHEY ADAM · CIK 0001440975 · Director · 10% owner HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner Hershey Strategic Capital, LP · CIK 0001465476 · Affiliated Entity Hershey Management IV, LLC · CIK 0001814077 · Affiliated Entity Shore Ventures III, LP · CIK 0001721551 · 10% owner HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · Affiliated Entity Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,087,333 Underlying: Common Stock · 1,087,333 shares Expires 2025-12-11 F3 · ownership.nature: Represents warrants to purchase shares of the common stock of the Issuer, that were acquired by Shore Ventures on December 11, 2020 pursuant to a Subscription Agreement dated as of May 29, 2020 among HSC LP, Shore Ventures and the Issuer. Such shares of common stock and warrants are held directly by Shore Ventures. Hershey Management IV, LLC is the general partner of Shore Ventures. Adam Hershey is the sole managing member of Hershey Management IV, LLC. As the general partner of Shore Ventures, Hershey Management IV, LLC, which is controlled by Mr. Hershey, has the voting and dispositive power with respect to all of the securities of the Issuer owned by Shore Ventures. Each of Hershey Management IV, LLC and Adam Hershey disclaims beneficial ownership in the securities of the Issuer held directly by Shore Ventures except to the extent of its pecuniary interest therein. Read SEC document |
| December 11, 2020 Filed Dec 16, 2020 16:51 UTC Amendment | TREES Corp (Colorado) CANN · Entity 9666 | GrantWarrants to purchase common stock · Derivative | 543,667 | $0.00 Strike: $0.49 | $0.00 |
DisclosureSEC source: 0001104659-20-136363 · a4a.xml · derivative · entry 1 HERSHEY ADAM · CIK 0001440975 · Director · 10% owner HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner Hershey Strategic Capital, LP · CIK 0001465476 · Affiliated Entity Hershey Management IV, LLC · CIK 0001814077 · Affiliated Entity Shore Ventures III, LP · CIK 0001721551 · 10% owner HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · Affiliated Entity Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 543,667 Underlying: Common Stock · 543,667 shares Expires 2025-12-11 F1 · ownership.nature: Represents warrants to purchase shares of the common stock of the Issuer, that were acquired by Hershey Strategic Capital, LP ("HSC LP") on December 11, 2020 pursuant to a Subscription Agreement dated as of May 29, 2020 among HSC LP, Shore Ventures III, LP ("Shore Ventures") and the Issuer. Such warrants are held directly by HSC LP. Hershey Management I, LLC is the investment advisor of HSC LP. Hershey Strategic Capital GP, LLC is the general partner of HSC LP. (continue with footnote 2) F2 · ownership.nature: Adam Hershey is the sole managing member of both Hershey Management I, LLC and Hershey Strategic Capital GP, LLC. As the investment advisor of HSC LP, Hershey Management I, LLC, which is controlled by Mr. Hershey, has the voting and dispositive power with respect to all of the securities of the Issuer owned by HSC LP. Each of Hershey Management I, LLC, Hershey Strategic Capital GP, LLC and Adam Hershey disclaims beneficial ownership in the securities of the Issuer held directly by HSC LP except to the extent of its pecuniary interest therein. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:08 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantWarrants to purchase common stock · Derivative | 1,158,047 | $0.00 Strike: $0.56 | $0.00 |
DisclosureSEC source: 0001104659-20-088525 · tm2026110-2_4.xml · derivative · entry 4 HERSHEY ADAM · CIK 0001440975 · Director · 10% owner Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner Hershey Management IV, LLC · CIK 0001814077 · 10% owner Shore Ventures III, LP · CIK 0001721551 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,158,047 Underlying: Common stock · 1,158,047 shares Expires 2025-05-29 F3 · ownership.nature: Represents shares of the common stock of the Issuer, and warrants to purchase shares of the common stock of the Issuer, that were acquired by Shore Ventures on July 28, 2020 at a third closing effected pursuant to a Subscription Agreement dated as of May 29, 2020 among HSC LP, Shore Ventures and the Issuer. Such shares of common stock and warrants are held directly by Shore Ventures. Hershey Management IV, LLC is the general partner of Shore Ventures. Adam Hershey is the sole managing member of Hershey Management IV, LLC. As the general partner of Shore Ventures, Hershey Management IV, LLC, which is controlled by Mr. Hershey, has the voting and dispositive power with respect to all of the securities of the Issuer owned by Shore Ventures. Each of Hershey Management IV, LLC and Adam Hershey disclaims beneficial ownership in the securities of the Issuer held directly by Shore Ventures except to the extent of its pecuniary interest therein. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:08 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantWarrants to purchase common stock · Derivative | 376,600 | $0.00 Strike: $0.56 | $0.00 |
DisclosureSEC source: 0001104659-20-088525 · tm2026110-2_4.xml · derivative · entry 3 HERSHEY ADAM · CIK 0001440975 · Director · 10% owner Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner Hershey Management IV, LLC · CIK 0001814077 · 10% owner Shore Ventures III, LP · CIK 0001721551 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 376,600 Underlying: Common stock · 376,600 shares Expires 2025-05-29 F1 · ownership.nature: Represents shares of the common stock of the Issuer, and warrants to purchase shares of the common stock of the Issuer, that were acquired by Hershey Strategic Capital, LP ("HSC LP") on July 28, 2020 at a third closing effected pursuant to a Subscription Agreement dated as of May 29, 2020 among HSC LP, Shore Ventures III, LP ("Shore Ventures") and the Issuer. Such shares of common stock and warrants are held directly by HSC LP. Hershey Management I, LLC is the investment advisor of HSC LP. Hershey Strategic Capital GP, LLC is the general partner of HSC LP. (continue with footnote 2) F2 · ownership.nature: Adam Hershey is the sole managing member of both Hershey Management I, LLC and Hershey Strategic Capital GP, LLC. As the investment advisor of HSC LP, Hershey Management I, LLC, which is controlled by Mr. Hershey, has the voting and dispositive power with respect to all of the securities of the Issuer owned by HSC LP. Each of Hershey Management I, LLC, Hershey Strategic Capital GP, LLC and Adam Hershey disclaims beneficial ownership in the securities of the Issuer held directly by HSC LP except to the extent of its pecuniary interest therein. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:08 UTC | TREES Corp (Colorado) CANN · Entity 9666 | PurchaseCommon Stock | 1,544,062 | $0.40 | $614,999.89 |
DisclosureSEC source: 0001104659-20-088525 · tm2026110-2_4.xml · nonDerivative · entry 2 HERSHEY ADAM · CIK 0001440975 · Director · 10% owner Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner Hershey Management IV, LLC · CIK 0001814077 · 10% owner Shore Ventures III, LP · CIK 0001721551 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,021,340 F3 · ownership.nature: Represents shares of the common stock of the Issuer, and warrants to purchase shares of the common stock of the Issuer, that were acquired by Shore Ventures on July 28, 2020 at a third closing effected pursuant to a Subscription Agreement dated as of May 29, 2020 among HSC LP, Shore Ventures and the Issuer. Such shares of common stock and warrants are held directly by Shore Ventures. Hershey Management IV, LLC is the general partner of Shore Ventures. Adam Hershey is the sole managing member of Hershey Management IV, LLC. As the general partner of Shore Ventures, Hershey Management IV, LLC, which is controlled by Mr. Hershey, has the voting and dispositive power with respect to all of the securities of the Issuer owned by Shore Ventures. Each of Hershey Management IV, LLC and Adam Hershey disclaims beneficial ownership in the securities of the Issuer held directly by Shore Ventures except to the extent of its pecuniary interest therein. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:08 UTC | TREES Corp (Colorado) CANN · Entity 9666 | PurchaseCommon Stock | 502,134 | $0.40 | $199,999.97 |
DisclosureSEC source: 0001104659-20-088525 · tm2026110-2_4.xml · nonDerivative · entry 1 HERSHEY ADAM · CIK 0001440975 · Director · 10% owner Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner Hershey Management IV, LLC · CIK 0001814077 · 10% owner Shore Ventures III, LP · CIK 0001721551 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote (1) and Disclosed balance after: 2,510,670 F2 · ownership.nature: Adam Hershey is the sole managing member of both Hershey Management I, LLC and Hershey Strategic Capital GP, LLC. As the investment advisor of HSC LP, Hershey Management I, LLC, which is controlled by Mr. Hershey, has the voting and dispositive power with respect to all of the securities of the Issuer owned by HSC LP. Each of Hershey Management I, LLC, Hershey Strategic Capital GP, LLC and Adam Hershey disclaims beneficial ownership in the securities of the Issuer held directly by HSC LP except to the extent of its pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.