SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 10/23/2020 | 3. Issuer Name and Ticker or Trading Symbol MedMen Enterprises, Inc. [ MMNFF ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 11/03/2020 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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 | ||||
Warrants | 09/27/2018(2) | 09/27/2021(2) | Class B Subordinate Voting Shares | 59,992 | 6.87(1) | I | By Gotham Green Fund 1, L.P.(3) |
Warrants | 09/27/2018(2) | 09/27/2021(2) | Class B Subordinate Voting Shares | 240,007 | 6.87(1) | I | By Gotham Green Fund 1 (Q), L.P.(3) |
Warrants | 07/12/2019 | 07/12/2022(4) | Class B Subordinate Voting Shares | 42,136 | 3.159 | I | By Gotham Green Fund 1, L.P.(3) |
Warrants | 07/12/2019 | 07/12/2022(4) | Class B Subordinate Voting Shares | 168,571 | 3.159 | I | By Gotham Green Fund 1 (Q), L.P.(3) |
Warrants | 07/12/2019 | 07/12/2022(4) | Class B Subordinate Voting Shares | 92,682 | 3.159 | I | By Gotham Green Fund II, L.P.(3) |
Warrants | 07/12/2019 | 07/12/2022(4) | Class B Subordinate Voting Shares | 539,441 | 3.159 | I | By Gotham Green Fund II (Q), L.P.(3) |
Warrants | 07/12/2019 | 07/12/2022(4) | Class B Subordinate Voting Shares | 1,234,568 | 3.159 | I | By Gotham Green SPV IV, L.P.(3) |
Warrants | 07/12/2019 | 07/12/2022(4) | Class B Subordinate Voting Shares | 12,173 | 3.645 | I | By Gotham Green Fund 1, L.P.(3) |
Warrants | 07/12/2019 | 07/12/2022(4) | Class B Subordinate Voting Shares | 48,698 | 3.645 | I | By Gotham Green Fund 1 (Q), L.P.(3) |
Warrants | 07/12/2019 | 07/12/2022(4) | Class B Subordinate Voting Shares | 26,775 | 3.645 | I | By Gotham Green Fund II, L.P.(3) |
Warrants | 07/12/2019 | 07/12/2022(4) | Class B Subordinate Voting Shares | 155,838 | 3.645 | I | By Gotham Green Fund II (Q), L.P.(3) |
Warrants | 07/12/2019 | 07/12/2022(4) | Class B Subordinate Voting Shares | 356,653 | 3.645 | I | By Gotham Green SPV IV, L.P.(3) |
Convertible Notes | 06/30/2020 | 04/23/2022 | Class B Subordinate Voting Shares | 211,683(5) | 0.34 | I | By Gotham Green Fund 1, L.P.(3) |
Convertible Notes | 06/30/2020 | 04/23/2022 | Class B Subordinate Voting Shares | 846,864(5) | 0.34 | I | By Gotham Green Fund 1 (Q), L.P.(3) |
Convertible Notes | 06/30/2020 | 04/23/2022 | Class B Subordinate Voting Shares | 567,861(5) | 0.34 | I | By Gotham Green Fund II, L.P.(3) |
Convertible Notes | 06/30/2020 | 04/23/2022 | Class B Subordinate Voting Shares | 3,305,148(5) | 0.34 | I | By Gotham Green Fund II (Q), L.P.(3) |
Convertible Notes | 06/30/2020 | 04/23/2022 | Class B Subordinate Voting Shares | 6,185,482(5) | 0.34 | I | By Gotham Green SPV IV, L.P.(3) |
Convertible Notes | 06/30/2020 | 04/23/2022 | Class B Subordinate Voting Shares | 2,889(6) | 0.2845(6) | I | By Gotham Green Fund 1, L.P.(3) |
Convertible Notes | 06/30/2020 | 04/23/2022 | Class B Subordinate Voting Shares | 11,558(6) | 0.2845(6) | I | By Gotham Green Fund 1 (Q), L.P.(3) |
Convertible Notes | 06/30/2020 | 04/23/2022 | Class B Subordinate Voting Shares | 7,750(6) | 0.2845(6) | I | By Gotham Green Fund II, L.P.(3) |
Convertible Notes | 06/30/2020 | 04/23/2022 | Class B Subordinate Voting Shares | 45,110(6) | 0.2845(6) | I | By Gotham Green Fund II (Q), L.P.(3) |
Convertible Notes | 06/30/2020 | 04/23/2022 | Class B Subordinate Voting Shares | 84,422(6) | 0.2845(6) | I | By Gotham Green SPV IV, L.P.(3) |
Convertible Notes | 06/30/2020 | 04/23/2022 | Class B Subordinate Voting Shares | 13,434(6) | 0.2845(6) | I | By Gotham Green SPV VI, L.P.(3) |
Warrants(7) | 09/27/2021 | 03/27/2025 | Class B Subordinate Voting Shares | 533,287 | 0.26 | I | By Gotham Green Fund 1, L.P.(3) |
Warrants(7) | 09/27/2021 | 03/27/2025 | Class B Subordinate Voting Shares | 2,133,480 | 0.26 | I | By Gotham Green Fund 1 (Q), L.P.(3) |
Warrants(7) | 09/27/2021 | 03/27/2025 | Class B Subordinate Voting Shares | 1,481,399 | 0.26 | I | By Gotham Green Fund II, L.P.(3) |
Warrants(7) | 09/27/2021 | 03/27/2025 | Class B Subordinate Voting Shares | 8,622,266 | 0.26 | I | By Gotham Green Fund II (Q), L.P.(3) |
Warrants(7) | 09/27/2021 | 03/27/2025 | Class B Subordinate Voting Shares | 15,625,000 | 0.26 | I | By Gotham Green SPV IV, L.P.(3) |
Warrants(7) | 10/24/2021 | 04/24/2025 | Class B Subordinate Voting Shares | 106,657 | 0.26 | I | By Gotham Green Fund 1, L.P.(3) |
Warrants(7) | 10/24/2021 | 04/24/2025 | Class B Subordinate Voting Shares | 426,696 | 0.26 | I | By Gotham Green Fund 1 (Q), L.P.(3) |
Explanation of Responses: |
1. Price stated is in Canadian currency. |
2. This holding is being amended to correct the date exercisable and the expiration date of the warrants. |
3. Gotham Green Partners LLC is the SEC registered investment adviser to the Gotham funds. Gotham Green GP 1 LLC is the general partner of Gotham Green Fund 1, LP and Gotham Green Fund 1 (Q) LP. Gotham Green GP 2 LLC is the general partner to Gotham Green Fund II LP and Gotham Green Fund II (Q) LP. Gotham Green Partners SPV IV GP, LLC is the general partner of Gotham Green Partners SPV IV, L.P., and Gotham Green Partners SPV VI GP, LLC is the general partner of Gotham Green Partners SPV VI, L.P. |
4. This holding is being amended to correct the expiration date. |
5. This holding is being amended to correct the amount of shares at the conversion price noted. |
6. This holding is being amended to correct the amount of shares and the conversion price of the convertible notes. |
7. This holding was omitted from the original Form 3 filing. |
Remarks: |
This is one of four Form 3/As filed on December 29, 2020 to amend the initial beneficial ownership reports of the reporting person. |
/s/ Jason Adler, Managing Member | 12/29/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |