SEC FORM
3
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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| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
| 720 KING STREET WEST, SUITE 320 |
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(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
02/21/2020
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3. Issuer Name and Ticker or Trading Symbol
Cronos Group Inc.
[ CRON ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
| X |
Officer (give title below) |
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Other (specify below) |
| SVP, Corporate Affairs |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
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| 1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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| COMMON SHARES |
10,000 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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| 1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| COMMON SHARE OPTION (right to buy) |
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05/17/2023 |
COMMON SHARES |
200,000 |
7.57
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I |
Held by Athena Advisors LLC |
| Explanation of Responses: |
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| Remarks: |
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/s/ Xiu Ming Shum, as attorney-in-fact for Anna Shlimak |
03/02/2020 |
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** 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. |
Anna Shlimak - Exhibit 24
Authorization and Designation
to Sign and File
Section 16 Reporting Forms
The undersigned, an executive officer of Cronos Group Inc., a corporation
formed under the Business Corporations Act (Ontario) (the "Company"), does
hereby authorize and designate Jerry Barbato or Xiu Ming Shum, each with right
to substitute and resubstitute, but for only so long as each of them is an
officer of the Company, to sign and file on his or her behalf the application
for the required Securities and Exchange Commission ("SEC") electronic CIK/CCC
codes and any and all Forms 3, 4 and 5 and Forms 144 relating to equity
securities of the Company with the SEC pursuant to the requirements of Section
16 of the Securities Exchange Act of 1934 ("Section 16") and Rule 144 under the
Securities Act of 1933, as amended. This authorization, unless earlier revoked
in writing, shall be valid until the undersigned's reporting obligations under
Section 16 and Rule 144 with respect to equity securities of the Company shall
cease. All prior such authorizations are hereby revoked.
IN WITNESS WHEREOF, the undersigned has executed this Authorization and
Designation this 27th day of February, 2020.
/s/ Anna Shlimak
---------------------------------
Anna Shlimak
