FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Novume Solutions, Inc. [ NVMM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/10/2018 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/10/2018 | A | 2,725,836(1) | A | $0.5155 | 2,869,083 | I(2) | By Avon Road Partners, L.P. | ||
Common Stock | 12/10/2018 | A | 1,593,021(1) | A | $0.5155 | 4,462,104 | I(2) | By Avon Road Partners, L.P. |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Avon Option to Purchase (McCarthy) | $0.5155 | 12/10/2018 | X | 2,725,836 | 03/16/2016 | 03/21/2019 | Common Stock | 2,725,836 | (3) | 0 | I | By Avon Road Partners, L.P. | |||
Avon Option to Purchase (Nathan) | $0.5155 | 12/10/2018 | X | 1,593,021 | 03/16/2016 | 03/21/2019 | Common Stock | 1,593,021 | (3) | 0 | I | By Avon Road Partners, L.P. |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The shares were acquired pursuant to Avon Road Partners, L.P.'s ("Avon Road") exercise of options (the "Options") to purchase shares of common stock of Novume Solutions, Inc. ("Novume") from James McCarthy and Richard Nathan. The Options were granted to Avon Road pursuant to the Option Agreement, dated March 16, 2016, amended as of September 7, 2017, by and among James McCarthy and Richard Nathan as grantors and Avon Road as the option holder (the "Option Agreement"). |
2. Represents shares acquired by Avon Road, of which Mr. Berman is the general partner. As a result, Mr. Berman may be deemed to beneficially own the Issuer's securities held by Avon Road. |
3. Pursuant to the terms of the Option Agreement, Avon Road paid the stockholders $10,000 each (a total of $20,000) for the right to purchase, on a simultaneous and pro-rata basis, up to 4,318,857 shares of Novume's common stock owned by the shareholders at a purchase price of $0.5155 per share. |
/s/ Robert A. Berman | 12/11/2018 | |
/s/ Robert A. Berman, General Partner of Avon Road Partners, L.P. | 12/11/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |