Sec Form 4 Filing - Lai John @ PetVivo Holdings, Inc. - 2020-03-31

Insider filing report for Changes in Beneficial Ownership
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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
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
Lai John
2. Issuer Name and Ticker or Trading Symbol
PetVivo Holdings, Inc. [ PETV]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
CEO
(Last) (First) (Middle)
5251 EDINA INDUSTRIAL BLVD
3. Date of Earliest Transaction (MM/DD/YY)
03/31/2020
(Street)
EDINA, MN55439
4. If Amendment, Date Original Filed (MM/DD/YY)
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
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
Common Stock Warrant $ 0.56 03/31/2020 C 90,000 ( 1 ) 03/31/2020 Common Stock 90,000 ( 1 ) 1,133,740 D
Common Stock Warrant $ 0.33 06/08/2020 C 90,000 ( 2 ) 06/08/2025 Common Stock 90,000 ( 2 ) 1,223,740 D
Common Stock Warrant $ 0.4 06/30/2020 A 29,762 06/30/2020 06/30/2025 Common Stock 29,762 ( 3 ) 1,253,502 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Lai John
5251 EDINA INDUSTRIAL BLVD
EDINA, MN55439
X X CEO
Signatures
/s/ John Lai 09/10/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )On October 31, 2019, the Company granted John Lai a warrant for 90,000 shares that vests upon the successful capital raise of an amount equal to or in excess of $10,000,000 through an S-1 offering, as long as the offering was completed by March 31, 2020; this warrant expired as these conditions were not met.
( 2 )On June 8, 2020, the Company granted John Lai a warrant for 90,000 shares that vests upon the successful capital raise of an amount equal to or in excess of $10,000,000 through an S-1 offering, as long as the offering is completed by October 31, 2020.
( 3 )On June 30, 2020, the Company granted John Lai a warrant for 29,762 shares for service in an executive capacity during the quarter ended June 30, 2020.

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