Source: https://ir.tilray.com/node/7841/html
Timestamp: 2020-01-18 05:44:42
Document Index: 144584704

Matched Legal Cases: ['§240', '§240', '§240', '§240', '§240', '§240']

88688T 100
CUSIP No. 88688T 100
6,293,257
7,137,748 shares(1)
8.2%(2)
Includes (1) 3,691,252 shares of Class 1 Common Stock held directly by Mr. Groh, (2) 1,776,821 shares of Class 2 Common Stock held directly by Mr. Groh, (3) 19,307 shares of Class 2 Common Stock held directly by Mr. Groh’s spouse, (4) 825,184 shares of Class 2 Common Stock held by a Grantor retained annuity trust for the benefit of Mr. Groh and (5) 825,184 shares of Class 2 Common Stock held by a Grantor retained annuity trust for the benefit of Mr. Groh’s spouse. In addition, each share of Class 1 Common Stock will convert automatically into one share of Class 2 Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the issuer’s amended and restated certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes.
Based on (1) 83,021,590 shares of Class 2 Common Stock that were anticipated to be outstanding as of December 12, 2019, as set forth in the Issuer’s Current Report on Form 8-K filed with the SEC on December 17, 2019 and (2) 3,691,252 shares of Class 1 Common Stock held directly by Mr. Groh.
Item 1(a). Name of Issuer: Tilray, Inc.
Item 1(b). Address of Issuer’s Principal Executive Offices: 1100 Maughan Road, Nanaimo, BC, Canada
Item 2(a). Name of Person Filing: Christian Groh
Address of Principal Business Office or, if none, Residence: The address and principal business office of the Reporting Person is:
2701 Eastlake Ave. E.
Item 2(c). Citizenship: Mr. Groh is a U.S. citizen.
Item 2(d). Title of Class of Securities: Class 2 Common Stock
Item 2(e). CUSIP Number: 88688T 100
☐ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);
☐ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
☐ Insurance company as defined in section 3(a)19) of the Act (15 U.S.C. 78c);
☐ Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
☐ An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
☐ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
☐ A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
☐ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
☐ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
☐ A non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J);
☐ Group, in accordance with §240.13d–1(b)(1)(ii)(K).
If filing as a non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J), please specify the type of institution: ____
Amount Beneficially Owned: See Row 9 of cover page for Reporting Person.
Percent of Class: See Row 11 of cover page for Reporting Person
Sole power to vote or to direct the vote: See Row 5 of cover page for Reporting Person.
Shared power to vote or to direct the vote: See Row 6 of cover page for Reporting Person.
Sole power to dispose or to direct the disposition of: See Row 7 of cover page for Reporting Person.
Shared power to dispose or to direct the disposition of: See Row 8 of cover page for Reporting Person.
/s/ Christian Groh