0001493152-20-000119.txt : 20200103 0001493152-20-000119.hdr.sgml : 20200103 20200103160545 ACCESSION NUMBER: 0001493152-20-000119 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200102 FILED AS OF DATE: 20200103 DATE AS OF CHANGE: 20200103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Simonton Taylor J. CENTRAL INDEX KEY: 0001227195 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54286 FILM NUMBER: 20505247 MAIL ADDRESS: STREET 1: 5170 SOUTH HANOVER WAY CITY: ENGLEWOOD STATE: CO ZIP: 80111-6239 FORMER NAME: FORMER CONFORMED NAME: Taylor Simonton J. DATE OF NAME CHANGE: 20170602 FORMER NAME: FORMER CONFORMED NAME: Simonton J. Taylor DATE OF NAME CHANGE: 20170602 FORMER NAME: FORMER CONFORMED NAME: SIMONTON TAYLOR DATE OF NAME CHANGE: 20060105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Surna Inc. CENTRAL INDEX KEY: 0001482541 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE SERVICES [0700] IRS NUMBER: 273911608 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1780 55TH STREET, SUITE C CITY: BOULDER STATE: CO ZIP: 80301 BUSINESS PHONE: 303-993-5271 MAIL ADDRESS: STREET 1: 1780 55TH STREET, SUITE C CITY: BOULDER STATE: CO ZIP: 80301 4 1 ownership.xml X0306 4 2020-01-02 0 0001482541 Surna Inc. SRNA 0001227195 Simonton Taylor J. 5170 S. HANOVER WAY ENGLEWOOD CO 80111 1 0 0 0 Option to purchase common stock 0.07 2020-01-02 2020-01-02 4 A 0 2000000 A 2020-01-02 2030-01-02 Common Stock 2000000 2000000 D Option to purchase common stock (2 0.07 2020-01-02 2020-01-02 4 A 0 250000 A 2020-01-02 2030-01-02 Common Stock 250000 2250000 D On January 2, 2020, the Issuer's board of directors approved the grant of non-qualified stock options to purchase 2,000,000 shares of common stock at an exercise price of $0.07, the closing price of Issuer's common stock on December 31, 2019, which vested and became exercisable in full immediately upon grant. These options were granted as a 2019 equity award under the Issuer's compensation plan for independent directors. The grant of these options and the issuance of shares of common stock upon exercise thereof are transactions exempt from Section 16(b) of the Exchange Act. On January 2, 2020, the Issuer's board of directors approved the grant of non-qualified stock options to purchase 250,000 shares of common stock at an exercise price of $0.07, the closing price of Issuer's common stock on December 31, 2019, which vested and became exercisable in full immediately upon grant. These options were granted as a 2020 equity award under the Issuer's compensation plan for independent directors. The grant of these options and the issuance of shares of common stock upon exercise thereof are transactions exempt from Section 16(b) of the Exchange Act. /s/ J. Taylor Simonton 2020-01-03