Sec Form 4 Filing - BERMAN ROBERT ALAN @ Novume Solutions, Inc. - 2018-12-10

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
BERMAN ROBERT ALAN
2. Issuer Name and Ticker or Trading Symbol
Novume Solutions, Inc. [ NVMM]
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)
C/O NOVUME SOLUTIONS, INC., 14420 ALBEMARLE POINT PLACE, SUITE 200
3. Date of Earliest Transaction (MM/DD/YY)
12/10/2018
(Street)
CHANTILLY, VA20151
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 12/10/2018 A 2,725,836 ( 1 ) A $ 0.5155 2,869,083 I ( 2 ) By Avon Road Partners, L.P.
Common Stock 12/10/2018 A 1,593,021 ( 1 ) A $ 0.5155 4,462,104 I ( 2 ) By Avon Road Partners, L.P.
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 A mount or Number of Shares
Avon Option to Purchase (McCarthy) $ 0.5155 12/10/2018 X 2,725,836 03/16/2016 03/21/2019 Common Stock 2,725,836 ( 3 ) 0 I By Avon Road Partners, L.P.
Avon Option to Purchase (Nathan) $ 0.5155 12/10/2018 X 1,593,021 03/16/2016 03/21/2019 Common Stock 1,593,021 ( 3 ) 0 I By Avon Road Partners, L.P.
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
BERMAN ROBERT ALAN
C/O NOVUME SOLUTIONS, INC.
14420 ALBEMARLE POINT PLACE, SUITE 200
CHANTILLY, VA20151
X X Chief Executive Officer
Avon Road Partners, L.P.
2029 CONNECTICUT AVE NW
WASHINGTON, DC20008
X
Signatures
/s/ Robert A. Berman 12/11/2018
Signature of Reporting Person Date
/s/ Robert A. Berman, General Partner of Avon Road Partners, L.P. 12/11/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The shares were acquired pursuant to Avon Road Partners, L.P.'s ("Avon Road") exercise of options (the "Options") to purchase shares of common stock of Novume Solutions, Inc. ("Novume") from James McCarthy and Richard Nathan. The Options were granted to Avon Road pursuant to the Option Agreement, dated March 16, 2016, amended as of September 7, 2017, by and among James McCarthy and Richard Nathan as grantors and Avon Road as the option holder (the "Option Agreement").
( 2 )Represents shares acquired by Avon Road, of which Mr. Berman is the general partner. As a result, Mr. Berman may be deemed to beneficially own the Issuer's securities held by Avon Road.
( 3 )Pursuant to the terms of the Option Agreement, Avon Road paid the stockholders $10,000 each (a total of $20,000) for the right to purchase, on a simultaneous and pro-rata basis, up to 4,318,857 shares of Novume's common stock owned by the shareholders at a purchase price of $0.5155 per share.

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