Sec Form 4 Filing - Ferraro Terence J @ Helix TCS, Inc. - 2018-06-01

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
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
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
Ferraro Terence J
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
_____ Officer (give title below) X __ Other (specify below)
May be part of a 13(d) Group
(Last) (First) (Middle)
C/O HELIX TCS, INC., 5300 DTC PARKWAY, SUITE 300
3. Date of Earliest Transaction (MM/DD/YY)
06/01/2018
(Street)
GREENWOOD VILLAGE, CO80111
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ 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 06/01/2018 A 9,238,882 A $ 0 ( 1 ) 9,238,882 I By Nightstone Unlimited, Inc. ( 2 )
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
Stock Option (Right to Buy) $ 0.79 06/01/2018 A 1,430,306 ( 3 ) 10/31/2025 Common Stock 1,430,306 $ 0 ( 3 ) 1,430,306 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Ferraro Terence J
C/O HELIX TCS, INC.
5300 DTC PARKWAY, SUITE 300
GREENWOOD VILLAGE, CO80111
X X May be part of a 13(d) Group
Nightstone Unlimited, Inc.
3101 NORTH FEDERAL HIGHWAY
SUITE 400
FORT LAUDERDALE, FL33306
X May be part of a 13(d) Group
Signatures
Terence J. Ferraro, By: /s/ S. Halle Vakani, by Power of Attorney 06/22/2018
Signature of Reporting Person Date
Nightstone Unlimited, Inc., By: Terence J. Ferraro, President, By: /s/ S. Halle Vakani, by Power of Attorney 06/22/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Received in exchange for 946,343 shares of Bio-Tech Software, Inc. ("BioTrackTHC") stock in connection with its merger into Helix Acquisition Sub, Inc., a wholly-owned subsidiary of the Issuer (the "Merger"). Of the 9,238,882 shares issued to the Reporting Person in connection with the Merger, 498,067 shares are currently being held in escrow and are subject to forfeiture during the eighteen-month period following the Merger to satisfy indemnification obligations of the Issuer, if any.
( 2 )The Reporting Person is a majority stockholder of Nightstone Unlimited, Inc. The Reporting Person disclaims beneficial ownership of the stock held by Nightstone Unlimited, Inc., except to the extent of his pecuniary interest therein.
( 3 )Received in the Merger in exchange for an employee stock option to acquire 146,507 shares of BioTrackTHC common stock for $7.67 per share. The stock option vested 25% on the first anniversary of the date of grant and the remaining 75% of the shares subject to the stock option shall vest 6.25% in quarterly installments, subject to the Reporting Person's continued employment with BioTrackTHC.

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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.