SEC Form 3
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*
KAUFMAN SCOTT D

(Last) (First) (Middle)
C/O WIZARD BRANDS, INC.
2700 HOMESTEAD ROAD

(Street)
PARK CITY UT 84098

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/24/2020
3. Issuer Name and Ticker or Trading Symbol
WIZARD BRANDS, INC. [ WIZD ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chairman, CEO & President
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
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)
Date Exercisable Expiration Date Title Amount or Number of Shares
12% Senior Secured Convertible Debenture (1) (1) Common Stock 10,000,000 $0.25 I By Barlock 2019 Fund, LP
Series A Common Stock Purchase Warrant (1) (1) Common Stock 300,000 $2.5 I By Barlock Capital Management LLC
Explanation of Responses:
1. On December 17, 2019, Barlock 2019 Fund, LP ("Barlock Fund") purchased from the Issuer a 12% Senior Secured Convertible Debenture in the principal amount of $2,500,000, convertible into shares of the Issuer's common stock at a per share price (as adjusted pursuant to the terms thereof) of $0.25 (the "Debenture"), and the Issuer issued to Barlock Capital Management LLC ("Barlock Management") a Series A Common Stock Purchase Warrant to purchase 300,000 shares of the Issuer's common stock at a per share exercise price of $2.50 (the "Warrant"). The Debenture matures on December 30, 2022 and the Warrant expires on December 1, 2024. The reporting person exercises voting and dispositive power of the securities held by each of Barlock Fund and Barlock Management, but disclaims any pecuniary interest in the securities held by Barlock Fund.
/s/ Scott D. kaufman 03/29/2021
** 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).
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