Amended Annual Statement of Changes in Beneficial Ownership (5/a)
28 Mai 2021 - 2:32PM
Edgar (US Regulatory)
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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).
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Form 3 Holdings Reported
[X]
Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0362
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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
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Aubrey de Lavenu Harold Andre | 2. Issuer Name and Ticker or Trading SymbolCEN BIOTECH INC [CENBF] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
300-3295 QUALITY WAY | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2017 |
(Street)
WINDSOR, ONTARIO, CANADA, A6 N8T 3R9
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) 4/26/2021 | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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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. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. 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) |
Amount | (A) or (D) | Price |
Common Stock | 11/30/2017 | | A4 (1) | 20000 | A | $0 | 689571 (2) | D | |
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 Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | 20,000 shares of common stock of issuer were granted by the issuer on November 30, 2017, pursuant to a restricted stock agreement pursuant to the issuer's equity compensation plan and the issuance was approved by the issuer's full board of directors. |
(2) | 689,571 shares were beneficially owned by the reporting person of which 656,250 shares were issuable upon conversion of convertible notes held by the reporting person at 12/31/2017. |
Remarks: The reporting person has served as a member of the board of directors of the issuer since July 2017 and was appointed to serve as a vice president of the issuer on April 2, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Aubrey de Lavenu Harold Andre 300-3295 QUALITY WAY WINDSOR, ONTARIO, CANADA, A6 N8T 3R9 | X |
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Signatures
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/s/ Harold Aubrey de Lavenu | | 5/28/2021 |
**Signature of Reporting Person | Date |
CEN Biotech (CE) (USOTC:CENBF)
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