Statement of Changes in Beneficial Ownership (4)
Source: Edgar (US Regulatory)
FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
1. Name and Address of Reporting Person *
VENEGAS ZACHARY L 2. Issuer Name and Ticker or Trading Symbol
Helix TCS, Inc. [ HLIX ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director __X__ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Executive Officer
(Last) (First) (Middle)
C/O HELIX TCS, INC., 10200 E. GIRARD AVENUE, SUITE B420 3. Date of Earliest Transaction (MM/DD/YYYY)
3/17/2020
(Street)
DENVER, CO 80231
(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
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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)
Code V Amount (A) or (D) Price
Common Stock 3/17/2020 S(1) 5000 D $0.126 (2) 22187228 I As Controlling Manager and Member of Helix Opportunities LLC
Common Stock 3/18/2020 S(1) 5000 D $0.11 22182228 I As Controlling Manager and Member of Helix Opportunities LLC
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 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 Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
(1) The sale was effected pursuant to a Rule 10b5-1 trading plan dated December 16, 2019, executed by the Reporting Person.
(2) The sales price reported is a weighted average price of multiple sales in a range of sale prices between $0.121 per share and $0.135 per share. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within this range.
Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
VENEGAS ZACHARY L
C/O HELIX TCS, INC.
10200 E. GIRARD AVENUE, SUITE B420
DENVER, CO 80231 X X Chief Executive Officer
Signatures
/s/ W. David Mannheim, by Power of Attorney 3/19/2020
**Signature of Reporting Person Date
