Initial Statement of Beneficial Ownership (3)
21 März 2017 - 6:54PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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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
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1. Name and Address of Reporting Person
*
ESTATE OF FRANK PERROTTI, JR.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/4/2017
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3. Issuer Name
and
Ticker or Trading Symbol
AFTERMASTER, INC. [AFTM]
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(Last)
(First)
(Middle)
C/O DARREN WALLACE, ESQ., DAY PITNEY LLP, ONE CANTERBURY GREEN
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
STAMFORD, CT 06901
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock, par value $0.001
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13330484
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I
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See Footnote
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Convertible Promissory Note
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8/23/2010
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(2)
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Common Stock
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500000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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11/4/2010
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(2)
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Common Stock
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500000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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2/19/2011
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(2)
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Common Stock
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500000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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6/28/2011
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(2)
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Common Stock
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500000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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5/3/2012
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(2)
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Common Stock
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625000
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$0.40
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I
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See Footnote
(3)
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Convertible Promissory Note
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6/2/2012
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(2)
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Common Stock
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500000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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6/15/2012
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(2)
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Common Stock
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200000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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6/30/2012
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(2)
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Common Stock
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600000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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8/3/2012
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(2)
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Common Stock
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200000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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8/16/2012
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(2)
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Common Stock
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200000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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9/2/2012
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(2)
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Common Stock
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300000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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9/16/2012
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(2)
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Common Stock
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400000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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10/17/2012
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(2)
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Common Stock
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400000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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11/3/2012
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(2)
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Common Stock
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300000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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12/5/2012
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(2)
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Common Stock
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250000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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12/20/2012
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(2)
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Common Stock
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250000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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2/9/2013
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(2)
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Common Stock
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100000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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3/10/2013
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(2)
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Common Stock
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100000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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4/10/2013
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(2)
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Common Stock
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200000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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4/17/2013
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(2)
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Common Stock
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200000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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4/25/2013
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(2)
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Common Stock
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100000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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5/13/2013
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(2)
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Common Stock
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150000
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$0.50
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I
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See Footnote
(3)
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Convertible Promissory Note
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5/23/2013
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(2)
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Common Stock
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50000
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$0.50
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I
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See Footnote
(3)
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Explanation of Responses:
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(
1)
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1,397,538 shares of common stock are directly beneficially owned by the Estate of Frank Perrotti, Jr., and indirectly by David Perrotti and Paula Perrotti as Co-Executors of the Estate of Frank Perrotti, Jr. 11,932,946 shares of common stock are indirectly beneficially owned by the Estate of Frank Perrotti, Jr., and by David Perrotti and Paula Perrotti as Co-Executors of the Estate of Frank Perrotti, Jr., through FJP Investments LLC, a single member limited liability company.
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(
2)
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The convertible promissory notes are exercisable for so long as they are outstanding.
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(
3)
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Indirectly beneficially owned by the Estate of Frank Perrotti, Jr., and by David Perrotti and Paula Perrotti as Co-Executors of the Estate of Frank Perrotti, Jr., through FJP Investments LLC, a single member limited liability company.
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Remarks:
This Form is Part 1 of 3. Exhibit Index: Exhibit 99.1 - Joint Filer Information (filed herewith)
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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ESTATE OF FRANK PERROTTI, JR.
C/O DARREN WALLACE, ESQ., DAY PITNEY LLP
ONE CANTERBURY GREEN
STAMFORD, CT 06901
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X
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PERROTTI DAVID
C/O DARREN WALLACE, ESQ., DAY PITNEY LLP
ONE CANTERBURY GREEN
STAMFORD, CT 06901
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X
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PERROTTI PAULA
C/O DARREN WALLACE, ESQ., DAY PITNEY LLP
ONE CANTERBURY GREEN
STAMFORD, CT 06901
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X
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Signatures
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ESTATE OF FRANK PERROTTI, JR. /s/ David Perrotti, as co-executor of the Estate of Frank Perrotti, Jr.
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3/10/2017
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**
Signature of Reporting Person
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Date
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ESTATE OF FRANK PERROTTI, JR. /s/ Paula Perrotti, as co-executor of the Estate of Frank Perrotti, Jr.
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3/10/2017
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**
Signature of Reporting Person
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Date
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/s/ David Perrotti, as Co-Executor of the Estate of Frank Perrotti, Jr
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3/10/2017
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**
Signature of Reporting Person
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Date
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/s/ Paula Perrotti, as Co-Executor of the Estate of Frank Perrotti, Jr
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3/10/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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