Sec Form 4/A Filing - Campbell Michael @ CalEthos, Inc. - 2018-12-21

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FORM 4/A
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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Campbell Michael
2. Issuer Name and Ticker or Trading Symbol
CalEthos, Inc. [ BUUZ]
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)
11753 WILLARD AVENUE
3. Date of Earliest Transaction (MM/DD/YY)
12/21/2018
(Street)
TUSTIN, CA92782
4. If Amendment, Date Original Filed (MM/DD/YY)
09/28/2018
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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 03/25/2019 D 806,471 D $ 0.695 8,954,199 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Series A Preferred Stock ( 1 ) 09/24/2018 J( 2 ) 505,000 ( 1 ) ( 1 ) Common Stock 505,000 ( 1 ) 9,320,414 D
Series A Preferred Stock ( 3 ) 12/21/2018 C 9,320,414 ( 3 ) ( 3 ) Common Stock 9,320,414 ( 3 ) 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Campbell Michael
11753 WILLARD AVENUE
TUSTIN, CA92782
X X Chief Executive Officer
Signatures
/s/ Michael Campbell 04/26/2019
Signature of Reporting Person Date
/s/ Michael Campbell, M1 Advisors LLC 04/26/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The Series A Preferred Stock is automatically convertible into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.
( 2 )The original Form 4, filed on September 28, 2018, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported a sale and transfer to an affiliate of M1 Advisors LLC in consideration for, and in settlement of, a loan in the principal amount of $270,000 that occurred on September 24, 2018 as a total of 505,000 shares sold when in fact 0 shares were sold. As a result of this administrative error, the number of Series A Preferred Stock beneficially owned by the reporting person following the corrected transaction is 9,320,414 shares.
( 3 )The Series A Preferred Stock was automatically converted into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

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 4(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).

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