Sec Form 4 Filing - Schweibold Andrew @ Helix TCS, Inc. - 2018-06-01

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
Schweibold Andrew
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 10,182,646 A $ 0 ( 1 ) 10,182,646 I By RSF5, LLC ( 2 )
Common Stock 06/01/2018 A 1,426,235 A $ 0 ( 3 ) 1,426,235 I By RSG5, LLC ( 2 )
Common Stock 1,244,444 I By RSF4, LLC ( 4 )
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 B Preferred Stock $ 0 ( 5 ) ( 6 ) ( 6 ) Common Stock 13,784,201 13,784,201 I By RSF4, LLC ( 4 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Schweibold Andrew
C/O HELIX TCS, INC.
5300 DTC PARKWAY, SUITE 300
GREENWOOD VILLAGE, CO80111
X X May be part of a 13(d) Group
Rose Management Group LLC
41 WEST PUTNAM AVENUE
GREENWICH, CT06830
X May be part of a 13(d) Group
RSF5, LLC
41 WEST PUTNAM AVENUE
GREENWICH, CT06830
X May be part of a 13(d) Group
RSG5, LLC
41 WEST PUTNAM AVENUE
GREENWICH, CT06830
X May be part of a 13(d) Group
Rose Capital Fund I GP, LLC
41 WEST PUTNAM AVENUE
GREENWICH, CT06830
X May be part of a 13(d) Group
RSF4, LLC
41 WEST PUTNAM AVENUE
GREENWICH, CT06830
X May be part of a 13(d) Group
Rosenthal Jonathan
41 WEST PUTNAM AVENUE
GREENWICH, CT06830
X May be part of a 13(d) Group
Signatures
Andrew Schweibold, By: /s/ S. Halle Vakani, by Power of Attorney 06/22/2018
Signature of Reporting Person Date
Rose Management Group LLP, By: Andrew Schweibold, Principal and Jonathan Rosenthal, Principal, By: /s/ S. Halle Vakani, by Power of Attorney 06/22/2018
Signature of Reporting Person Date
RSF5, LLC, By: Andrew Schweibold, Principal and Jonathan Rosenthal, Principal, By: /s/ S. Halle Vakani, by Power of Attorney 06/22/2018
Signature of Reporting Person Date
RSG5, LLC, By: Andrew Schweibold, Principal and Jonathan Rosenthal, Principal, By: /s/ S. Halle Vakani, by Power of Attorney 06/22/2018
Signature of Reporting Person Date
Rose Capital Fund I GP, LLC, By: Andrew Schweibold, Principal and Jonathan Rosenthal, Principal, By: /s/ S. Halle Vakani, by Power of Attorney 06/22/2018
Signature of Reporting Person Date
RSF4, LLC, By: Andrew Schweibold, Principal and Jonathan Rosenthal, Principal, By: /s/ S. Halle Vakani, by Power of Attorney 06/22/2018
Signature of Reporting Person Date
Jonathan Rosenthal, 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 an aggregate of 751,890 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 10,182,646 shares issued to the Reporting Person in connection with the Merger, 343,094 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 and Jonathan Rosenthal are 50/50 owners of Rose Management Group, LLC which is the manager of RSF5, LLC and RSG5, LLC. The Reporting Person disclaims beneficial ownership of the stock held by RSF5, LLC and RSG5, LLC except to the extent of his pecuniary interest therein.
( 3 )Received in exchange for 146,090 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 1,426,235 shares issued to the Reporting Person in connection with the Merger, 76,888 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.
( 4 )The Reporting Person and Jonathan Rosenthal are 50/50 owners of Rose Capital Fund I GP, LLC which is the sole manager of RSF4, LLC. The Reporting Person disclaims beneficial ownership of the stock held by RSF4, LLC except to the extent of his pecuniary interest therein.
( 5 )The Series B Preferred Stock converts to the Issuer's Common Stock on a one-for-one basis.
( 6 )The Series B Preferred Stock is convertible after May 12, 2018.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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