Sec Form 3 Filing - Allred Herbert Hunt @ theMaven, Inc. - 2021-10-07

Insider filing report for Changes in Beneficial Ownership
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FORM 3
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
Allred Herbert Hunt
2. Issuer Name and Ticker or Trading Symbol
theMaven, Inc. [ MVEN]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
200 VESEY STREET, 24TH FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
10/07/2021
(Street)
NEW YORK, NY10281
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
Common Stock 56,897 D
Common Stock 357,250 I Allred 2002 Trust - HHA ( 1 )
Common Stock 357,250 I Allred 2002 Trust - NLA ( 2 )
Common Stock 642,900 I Redcap Investments, LP ( 3 )
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 Benef icial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series H Convertible Preferred Stock $ 0.33 08/09/2018 ( 4 ) Common Stock 227,325 ( 4 ) D
Series H Convertible Preferred Stock $ 0.33 08/09/2018 ( 4 ) Common Stock 500,115 ( 4 ) I Allred 2002 Trust - HHA ( 1 )
Series H Convertible Preferred Stock $ 0.33 08/09/2018 ( 4 ) Common Stock 500,115 ( 4 ) I Allred 2002 Trust - NLA ( 2 )
Series H Convertible Preferred Stock $ 0.33 08/09/2018 ( 4 ) Common Stock 681,975 ( 4 ) I Redcap Investments, LP ( 3 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Allred Herbert Hunt
200 VESEY STREET, 24TH FLOOR
NEW YORK, NY10281
X
Signatures
/s/ Herbert Hunt Allred 10/27/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Brittny Allred, Mr. Allred's spouse, is Trustee of this irrevocable trust, of which Mr. Allred is a beneficiary.
( 2 )Brittny Allred, Mr. Allred's spouse, is Trustee of this irrevocable trust, of which Nancy Allred Collins, Mr. Allred's sister, is a beneficiary.
( 3 )Mr. Allred is a 25% owner of Redcap Investments, LP. Mr. Allred is currently President of its General Partner, Redcap Investments Management, LLC.
( 4 )The Issuer issued its Series H Convertible Preferred Stock, par value $0.01 per share (the "Series H Preferred Stock") at a stated value equal to $1,000 per share. The Series H Preferred Stock is convertible at the option of the holder, subject to a beneficial ownership limitation of 4.99%, at a rate of 3,031 shares of Common Stock for every share of Series H Convertible Preferred Stock. The beneficial ownership limitation may be increased to up to 9.99% at the election of the applicable holder upon 60 days' prior notice to the Issuer. The Series H Preferred Stock will automatically convert into shares of common stock on the fifth anniversary of the closing date at the then-conversion price. The Series H Preferred Stock does not have an expiration date.

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).
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