1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Restricted Stock Units
|
(1)
|
(1)
|
Subordinate Voting Shares
|
75,000
|
$
(2)
|
D
|
|
Stock options (right to buy)
|
07/18/2018 |
07/18/2024 |
Subordinate Voting Shares
|
10,000
|
$
2.0348
|
D
|
|
Class B Common Shares
|
(3)
|
(3)
|
Subordinate Voting Shares
|
811,104
|
$
(3)
|
D
|
|
Class B Common Shares
|
(3)
|
(3)
|
Subordinate Voting Shares
|
190,231
|
$
(3)
|
I
|
By Harkness Family Trust
(4)
|
Warrants (right to buy Class B Common Shares)
(3)
|
08/28/2018 |
08/28/2023 |
Subordinate Voting Shares
|
155,000
|
$
2.0348
|
D
|
|
Warrants (right to buy Class B Common Shares)
(3)
|
03/15/2016 |
03/15/2026 |
Subordinate Voting Shares
|
22,500
|
$
1.0174
|
D
|
|
Warrants (right to buy Class B Common Shares)
(3)
|
10/31/2016 |
12/20/2026 |
Subordinate Voting Shares
|
245,724
|
$
2.0348
|
I
|
By Harkness Family Trust
(4)
|
Class B Common Shares
|
(3)
|
(3)
|
Subordinate Voting Shares
|
482,667
|
$
(3)
|
I
|
By Immediate Family Member
(5)
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
The restricted stock units vest on December 31, 2021. |
(2) |
Each restricted stock unit represents a contingent right to receive one Subordinate Voting Share on the vesting date. |
(3) |
Class B Common Shares of Indus Holding Company ("Class B Common Shares") may be redeemed at the option of the holder for Subordinate Voting Shares of the issuer on a one-for-one basis or, at the option of Indus Holding Company, for the cash equivalent of such Subordinate Voting Shares, as determined in accordance with the certificate of incorporation of Indus Holding Company. Class B Common Shares may be redeemed at any time and have no expiration date. |
(4) |
Ms. Harkness disclaims beneficial ownership of the Class B Common Shares and warrants held by the Harkness Family Trust except to the extent of her pecuniary interest therein. |
(5) |
The shares are held of record by Ms. Harkness's spouse. Ms. Harkness disclaims beneficial ownership of such shares. |