Annual Statement of Changes in Beneficial Ownership (5)
17 Novembre 2021 - 8:19PM
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
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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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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
*
Layton Earl Thomas | 2. Issuer Name and Ticker or Trading SymbolLux Amber, Corp. [LXAM] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman and CEO |
(Last)
(First)
(Middle)
6136 FRISCO SQUARE BLVD., SUITE 400, #237 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 4/30/2021 |
(Street)
FRISCO, TX 75034
(City)
(State)
(Zip)
| 4. 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 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 | 3/17/2021 (1) | 3/17/2021 | J (2) | 1096250 | D | $1 (3) | 3618750 | D | |
Common Stock | 4/20/2021 (4) | 4/20/2021 | J (5) | 1125000 | D | $1 (6) | 3618750 | 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) | Eleven (11) separate transactions occurred simultaneously |
(2) | Delivery of shares comprising collateral, in lieu of payment of the promissory note whose repayment was secured by such shares |
(3) | The price was a function of the timing of the underlying transaction, and varied from $0.40 to $1.00 |
(4) | Thirteen (13) separate transactions occurred simultaneously |
(5) | Delivery of shares comprising collateral, in lieu of payment of the promissory note whose repayment obligation was secured by such shares |
(6) | The price was a function of the timing of the underlying loan transaction, and varied from $0.13 to $1.00 |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Layton Earl Thomas 6136 FRISCO SQUARE BLVD. SUITE 400, #237 FRISCO, TX 75034 | X |
| Chairman and CEO |
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Signatures
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E. Thomas Layton | | 9/19/2020 |
**Signature of Reporting Person | Date |
Lux Amber (CE) (USOTC:LXAM)
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Lux Amber (CE) (USOTC:LXAM)
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