Initial Statement of Beneficial Ownership (3)
17 April 2020 - 5:34AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Williams Paul O |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/26/2020
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3. Issuer Name and Ticker or Trading Symbol
Lux Amber, Corp. [LXAM]
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(Last)
(First)
(Middle)
145 ROSE LANE, SUITE 102 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director ___X___ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Financial Officer / |
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(Street)
FRISCO, TX 75036
(City)
(State)
(Zip)
| 5. 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 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) |
| Common Stock (1) | 3400000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
| Common Stock purchase options | 11/4/2019 (2) | 11/4/2029 | Common Stock | 400000 | $1.5 | D | |
| Common Stock purchase options (3) | 11/4/2019 (4) | 11/4/2020 | Common Stock | 100000 | $1.5 | D | |
| Explanation of Responses: |
| (1) | Acquired via a one for one share exchange in a transaction that closed March 26 2020 |
| (2) | 100% vested on the date of grant |
| (3) | Ownership attributed to Mr. Williams from his spouse |
| (4) | 100% vested on date of grant |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Williams Paul O
145 ROSE LANE
SUITE 102
FRISCO, TX 75036 | X | X | Chief Financial Officer |
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Signatures
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| Paul O Williams | | 4/16/2020 |
| **Signature of Reporting Person | Date |
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