Initial Statement of Beneficial Ownership (3)
16 Septembre 2020 - 10:27PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden hours per response...
0.5
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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
*
Lum Ernest K.F. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/26/2020
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3. Issuer Name and Ticker or Trading Symbol
Lux Amber, Corp. [LXAM]
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(Last)
(First)
(Middle)
145 ROSE LANE, SUITE 102 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
FRISCO, TX 75036
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock (1) | 4410618 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 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 |
Common Stock purchase options (2) | 3/10/2017 | 3/10/2027 | Common Stock | 50000 | $0.01 | D | |
Common Stock purchase options (3) | 7/22/2017 | 7/22/2027 | Common Stock | 250000 | $0.01 | D | |
Explanation of Responses: |
(1) | Acquired via a one for one share exchange in a transaction that closed March 26 2020 |
(2) | 100% vested on the date of grant |
(3) | 100% vested on the date of grant |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lum Ernest K.F. 145 ROSE LANE SUITE 102 FRISCO, TX 75036 |
| X |
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Signatures
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Ernest K.F. Lum | | 9/16/2020 |
**Signature of Reporting Person | Date |
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