Report of Proposed Sale of Securities (144)
01 Juin 2017 - 4:51PM
Edgar (US Regulatory)
UNITED STATES
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OMB APPROVAL
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SECURITIES AND EXCHANGE
COMMISSION
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OMB Number:
3235-0101
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Washington, D.C. 20549
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Expires: May 31, 201
7
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FORM 144
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Estimated average burden hours per
response 1.00
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NOTICE OF PROPOSED SALE OF SECURITIES
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SEC USE ONLY
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PURSUANT TO RULE 144 UNDER THE
SECURITIES ACT OF 1933
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DOCUMENT SEQUENCE NO.
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ATTENTION:
Transmit
for filing 3 copies of this form concurrently with either placing an order
with a broker to execute sale
or executing a sale directly with a
market
maker.
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CUSIP NUMBER
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1
(a)
NAME OF ISSUER
(Please type or print)
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(b)
IRS IDENT. NO.
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(c)
S.E.C. FILE NO.
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WORK LOCATION
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COOL TECHNOLOGIES, INC. (OTCBB: WARM)
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75-3076597
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000-53443
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1
(d)
ADDRESS
OF ISSUER
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STREET
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CITY
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STATE
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ZIP CODE
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(e)
TELEPHONE NO.
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8875 Hidden River Parkway, Suite 300
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Tampa
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FL
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33637
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AREA CODE
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NUMBER
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813
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975-7467
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2
(a)
NAME OF PERSON FOR WHOSE ACCOUNT THE
SECURITIES ARE TO BE SOLD
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(b)
RELATIONSHIP TO ISSUER
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(c)
ADDRESS STREET
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CITY
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STATE
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ZIP
CODE
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KHIC LLC
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Shareholder
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36
Manchester Drive
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Westfield
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NJ
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07090
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INSTRUCTION:
The person filing this notice should
contact the issuer to obtain the I.R.S.
Identification
Number
and the S.E.C. File
Number.
3
(a)
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(b)
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SEC USE ONLY
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(c)
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(d)
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(e)
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(f)
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(g)
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Title of the
Class of
Securities
To Be Sold
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Name and Address of Each Broker
Through Whom the
Securities are to be Offered or Each Market
Maker
who is Acquiring the Securities
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Broker-Dealer
File Number
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Number of Shares
or Other
Units
To Be Sold
(See instr. 3(c))
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Aggregate
Market
Value
(See instr. 3(d))
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Number of Shares
or Other
Units
Outstanding
(See instr. 3(e))
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Approximate
Date of Sale
(See instr. 3(f))
(MO. DAY YR.)
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Name of Each
Securities
Exchange
(See instr. 3(g))
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Common
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Interactive Brokers
One Pickwick Plaza
Greenwich CT 06830
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1,132,000
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$147,160
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113,238,236
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06/05/17
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OTCBB
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INSTRUCTIONS:
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3 .
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(a)
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Title of the class of securities to be Sold
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1.
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(a)
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Name of issuer
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(b)
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Name and address of each broker through whom the
securities are intended to be sold
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(b)
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Issuers I.R.S. Identification Number
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(c)
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Number of shares or other units to be sold (if debt
securities, give the aggregate face amount)
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(c)
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Issuers S.E.C. file number, if any
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(d)
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Aggregate market value of the securities to be sold as of
a specified date within 10 days prior to the filing of this notice
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(d)
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Issuers address, including zip code
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(e)
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Number of shares or other units of the class outstanding,
or if debt securities the face amount thereof outstanding, as shown
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(e)
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Issuers telephone number, including area code
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by the most recent report or statement published by the
issuer
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(f)
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Approximate date on which the securities are to be sold
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(g)
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Name of each securities exchange, If any, on
which the securities are interested to be
sold.
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2.
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(a)
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Name of persons whose account the
securities are to be sold
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(b)
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Such persons relationship to the
issuer (e.g., officer, director, 10% stockholder, or member of immediate
family of any of the foregoing)
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(c)
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Such persons address, including
zip code
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Potential persons
who are to
respond
to
the
collection
of
information contained
in this form
are not
required
to
respond
unless the form
displays
a
currently
valid OMB
control
number.
SEC 1147 (08-07)
TABLE
I
SECURITIES
TO BE
SOLD
Furnish
the
following
information
with respect to the
acquisition
of the
securities
to be sold and with
respect to the
payment
of all or any part of the
purchase
price or other
consideration
therefor:
Title of
the Class
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Date you
Acquired
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Nature of Acquisition
Transaction
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Name of Person from Whom
Acquired
(If gift, also give date donor acquired)
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Amount of
Securities Acquired
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Date of
Payment
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Nature of Payment
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COMMON
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4/11/17
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Partial Conversion of Promissory Note
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Issuer
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1,132,000
See Note 1
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4/11/17
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Cashless conversion
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INSTRUCTIONS:
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If the securities were purchased and full payment
therefor was not made in cash at the time of purchase, explain in the
table or in a note thereto the nature of the consideration given. If the
consideration consisted of any note or other obligation, or if payment was
made in installments describe the arrangement and state when the note or
other obligation was discharged in full or the last installment paid.
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TABLE
II
SECURITIES
SOLD
DURING
THE
PAST
3
MONTHS
Furnish
the
following
information
as to all
securities
of the issuer sold
during the past 3 months by the person for whose
account
the
securities
are to be sold.
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Amount of
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Name and Address of Seller
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Title of Securities Sold
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Date of Sale
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Securities Sold
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Gross Proceeds
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REMARKS:
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Note 1: Acquired pursuant to a Senior Convertible Promissory
Note, dated August 31, 2016, by and among KHIC LLC and the Issuer in
connection with a loan to Issuer. Pursuant to the provisions of the
Promissory Note, KHIC has the right to convert any or all of the outstanding
principal amount, plus any accrued and unpaid interest, into shares of
Common Stock at a conversion price of $.025. The above transaction is a
partial conversion of the Promissory Note.
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INSTRUCTIONS:
See the definition of person
in paragraph (a) of Rule 144. Information is to be given not only as to
the person for whose account the securities are to be sold but also as to
all other persons included in that definition. In addition, information
shall be given as to sales by all persons whose sales are required by
paragraph (e) of Rule 144 to be aggregated with sales for the account of
the person filing this notice.
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ATTENTION:
The person for whose account the
securities to which this notice relates are to be sold
hereby
represents by signing this notice that he does not know any material
adverse information in regard to
the current and prospective
operations of the Issuer of the securities to be sold which has not been
publicly
disclosed. If such person has adopted a written trading
plan or given trading instructions to satisfy Rule
10b5-1 under the
Exchange Act, by signing the form and indicating the date that the plan
was adopted or the
instruction given, that person makes such
representation as of the plan adoption or instruction date.
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June
1, 2017
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Eric W Hess
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DATE OF NOTICE
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/s/ Eric Hess
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(SIGNATURE)
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ERIC HESS
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DATE OF PLAN ADOPTION OR
GIVING OF INSTRUCTION,
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The notice shall be signed by the person
for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any
copies not manually signed shall bear typed or printed signatures.
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IF RELYING ON RULE 10B5-1
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ATTENTION:
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Intentional misstatements or omission of facts
constitute Federal Criminal Violations (See 18
U.S.C. 1001)
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SEC 1147 (02-08)
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