SEC Info - Perrotti Paula, et al. - ‘3’ for 1/4/17 re: Aftermaster, Inc.

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

ESTATE OF FRANK PERROTTI, JR.

(Last)

(First)

(Middle)

C/O DARREN WALLACE, ESQ., DAY PITNEY LLP

ONE CANTERBURY GREEN

(Street)

STAMFORD

06901

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
1/4/17

3. Issuer Name and Ticker or Trading Symbol
AFTERMASTER, INC. [ AFTM ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Warrant	10/17/12	10/17/17	Common Stock	25,000	0.4	I	See Footnote ⁽¹⁾
Warrant	10/25/12	10/25/17	Common Stock	12,500	0.4	I	See Footnote ⁽¹⁾
Warrant	11/13/12	11/13/17	Common Stock	18,750	0.4	I	See Footnote ⁽¹⁾
Warrant	11/23/12	11/23/17	Common Stock	6,250	0.4	I	See Footnote ⁽¹⁾
Warrant	11/28/12	11/28/17	Common Stock	12,500	0.4	I	See Footnote ⁽¹⁾
Warrant	12/17/12	12/17/17	Common Stock	12,500	0.4	I	See Footnote ⁽¹⁾
Warrant	1/14/13	1/14/18	Common Stock	18,750	0.4	I	See Footnote ⁽¹⁾
Warrant	1/23/13	1/23/18	Common Stock	6,250	0.4	I	See Footnote ⁽¹⁾
Warrant	1/31/13	1/31/18	Common Stock	8,750	0.4	I	See Footnote ⁽¹⁾
Warrant	2/5/13	2/5/18	Common Stock	1,250	0.4	I	See Footnote ⁽¹⁾
Warrant	2/14/13	2/14/18	Common Stock	2,500	0.4	I	See Footnote ⁽¹⁾
Warrant	2/22/13	2/22/18	Common Stock	18,750	0.4	I	See Footnote ⁽¹⁾
Warrant	3/6/13	3/6/18	Common Stock	18,750	0.4	I	See Footnote ⁽¹⁾
Warrant	4/8/13	4/8/18	Common Stock	18,750	0.4	I	See Footnote ⁽¹⁾

1. Name and Address of Reporting Person^*

ESTATE OF FRANK PERROTTI, JR.

(Last)

(First)

(Middle)

C/O DARREN WALLACE, ESQ., DAY PITNEY LLP

ONE CANTERBURY GREEN

(Street)

STAMFORD

06901

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

PERROTTI DAVID

(Last)

(First)

(Middle)

C/O DARREN WALLACE, ESQ., DAY PITNEY LLP

ONE CANTERBURY GREEN

(Street)

STAMFORD

06901

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

PERROTTI PAULA

(Last)

(First)

(Middle)

C/O DARREN WALLACE, ESQ., DAY PITNEY LLP

ONE CANTERBURY GREEN

(Street)

STAMFORD

06901

(City)

(State)

(Zip)

Explanation of Responses:

(1) Indirectly beneficially owned by the Estate of Frank Perrotti, Jr., and by David Perrotti and Paula Perrotti as Co-Executors of the Estate of Frank Perrotti, Jr., through FJP Investments LLC, a single member limited liability company.

Remarks:

This Form is Part 3 of 3. Exhibit Index: Exhibit 99.1 - Joint Filer Information (filed herewith)

	ESTATE OF FRANK PERROTTI, JR. /s/ David Perrotti, as Co-Executor of the Estate of Frank Perrotti, Jr	3/10/17
	ESTATE OF FRANK PERROTTI, JR. /s/ Paula Perrotti, as Co-Executor of the Estate of Frank Perrotti, Jr	3/10/17
	/s/ David Perrotti, as Co-Executor of the Estate of Frank Perrotti, Jr	3/10/17
	/s/ Paula Perrotti, as Co-Executor of the Estate of Frank Perrotti, Jr	3/10/17
	** Signature of Reporting Person	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 5 (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.

Perrotti Paula, et al. – ‘3’ for 1/4/17 re: Aftermaster, Inc.

On: Tuesday, 3/21/17, at 2:02pm ET · For: 1/4/17 · Accession #: 1214659-17-2112 · File #: 1-10196

Previous ‘3’: ‘3’ on 3/21/17 for 1/4/17 · Latest ‘3’: This Filing

Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents

‘3’ — Ownership Document — p317174f3.xml/2.6

This ‘3’ Document is an XML Data File that may be rendered in various formats:

Perrotti Paula, et al. – ‘3’ for 1/4/17 re: Aftermaster, Inc.

On: Tuesday, 3/21/17, at 2:02pm ET · For: 1/4/17 · Accession #: 1214659-17-2112 · File #: 1-10196

Previous ‘3’: ‘3’ on 3/21/17 for 1/4/17 · Latest ‘3’: This Filing

Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34Filing Table of Contents

‘3’ — Ownership Document — p317174f3.xml/2.6

This ‘3’ Document is an XML Data File that may be rendered in various formats:

Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents