0001683168-19-003121.txt : 20191002
0001683168-19-003121.hdr.sgml : 20191002
20191002143359
ACCESSION NUMBER: 0001683168-19-003121
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191002
DATE AS OF CHANGE: 20191002
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KESSLER PAUL L.
CENTRAL INDEX KEY: 0001113835
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-33383
FILM NUMBER: 191131687
MAIL ADDRESS:
STREET 1: 662 N. SEPULVEDA BLVD.,
STREET 2: SUITE 300
CITY: LOS ANGELES
STATE: CA
ZIP: 90049
FORMER NAME:
FORMER CONFORMED NAME: KESSLER PAUL
DATE OF NAME CHANGE: 20000509
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: WIZARD ENTERTAINMENT, INC.
CENTRAL INDEX KEY: 0001162896
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-AMUSEMENT & RECREATION SERVICES [7900]
IRS NUMBER: 980357690
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3960 HOWARD HUGHES PARKWAY
STREET 2: SUITE 500
CITY: LAS VEGAS
STATE: NV
ZIP: 89169
BUSINESS PHONE: 6049618878
MAIL ADDRESS:
STREET 1: 3960 HOWARD HUGHES PARKWAY
STREET 2: SUITE 500
CITY: LAS VEGAS
STATE: NV
ZIP: 89169
FORMER COMPANY:
FORMER CONFORMED NAME: Wizard World, Inc.
DATE OF NAME CHANGE: 20110125
FORMER COMPANY:
FORMER CONFORMED NAME: GOENERGY INC
DATE OF NAME CHANGE: 20011129
4
1
ownership.xml
X0306
4
2019-09-30
0
0001162896
WIZARD ENTERTAINMENT, INC.
WIZD
0001113835
KESSLER PAUL L.
622 N. SEPULVEDA BLVD., SUITE 300
LOS ANGELES
CA
90049
0
1
1
0
Executive Chairman
Common stock, par value $0.0001 per share
2019-09-30
2019-09-30
4
P
0
1025688
0.155
A
51990060
I
See footnote
Warrant for purchase of common stock
0.15
2016-12-02
2021-12-02
Common Stock
16666667
16666667
I
See footnote
Convertible debenture
0.15
2016-12-02
2018-12-31
Common Stock
16666667
16666667
I
See footnote
Options
Common Stock
600000
600000
I
See footnote
Options
0.13
2019-03-01
2024-01-23
Common Stock
300000
300000
I
See footnote
These shares were purchased by Bristol Investment Fund, Ltd., a Cayman Islands exempted company ("BIF") managed by Bristol Capital Advisors, LLC ("BCA"), a Delaware LLC, of which Mr. Kessler has voting and dispositive power over the shares beneficially owned.
The total includes: (i) 50,635,360 shares owned by BIF, (ii) 489,000 shares owned by Bristol Capital, LLC ("BC"), a Delaware LLC of which Mr. Kessler has voting and dispositive power over the shares beneficially owned, (iii) 78,700 shares owned by Paul Kessler IRA Rollover, of which Mr. Kessler has voting and dispositive power over the shares beneficially owned, and (iv) 787,000 shares owned by Bristol Capital Advisors Pension and Profit Sharing, of which Mr. Kessler has voting and dispositive power over the shares beneficially owned.
On December 2, 2016, BIF purchased from Wizard World, Inc. (now known as "Wizard Entertainment, Inc.") (the "Issuer") a convertible debenture with a principal amount of $2,500,000 (with a conversion price of $0.15 per share) (the "Debenture") and a warrant to purchase to 16,666,667 shares of common stock (with an exercise price of $0.15 per share) (the "Warrant") for an aggregate purchase price of $2,500.000. The maturity date of the Debenture and expiration date of the Warrant shall be extended in a written agreement to be executed by the parties in 2019.
The Issuer has issued stock options for 600,000 shares to BC pursuant to its stock award plans, with exercise prices ranging from $0.50 to $0.60, expiring on December 29, 2021 as disclosed in the Issuer's 10K report filed on April 1, 2019.
The Issuer granted an option for 300,000 shares to Paul Kessler pursuant to the 2011 Stock Incentive and Award Plan, as amended.
/s/ Paul L. Kessler
2019-10-02