| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ITHUF | Common Shares | Other | +125,585,311 | +46402% | 125,855,957 | 24 Jun 2022 | Gotham Green Fund 1, L.P. | F1, F2, F3 | ||
| transaction | ITHUF | Common Shares | Other | +502,419,744 | +46402% | 503,502,503 | 24 Jun 2022 | Gotham Green Fund 1 (Q), L.P. | F1, F2, F3 | ||
| transaction | ITHUF | Common Shares | Other | +57,324,290 | 57,324,290 | 24 Jun 2022 | Gotham Green Fund II, L.P. | F1, F2, F3 | |||
| transaction | ITHUF | Common Shares | Other | +333,453,540 | 333,453,540 | 24 Jun 2022 | Gotham Green Fund II (Q), L.P. | F1, F2, F3 | |||
| transaction | ITHUF | Common Shares | Other | +934,167,928 | +33814% | 936,930,574 | 24 Jun 2022 | Gotham Green Credit Partners SPV 1, L.P. | F1, F2, F3 | ||
| transaction | ITHUF | Common Shares | Other | +615,096,377 | 615,096,377 | 24 Jun 2022 | Gotham Green Partners SPV V, L.P. | F1, F2, F3 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ITHUF | Convertible Debenture | Other | $2,398,448 | 0 | 24 Jun 2022 | Common Shares | 778,717 | $3.08 | By Gotham Green Fund 1, L.P. | F1, F2, F3, F4, F5 | |||
| transaction | ITHUF | Convertible Debenture | Other | $9,595,307 | 0 | 24 Jun 2022 | Common Shares | 3,115,360 | $3.08 | By Gotham Green Fund 1 (Q), L.P. | F1, F2, F3, F4, F5 | |||
| transaction | ITHUF | Convertible Debenture | Other | $29,364,022 | 0 | 24 Jun 2022 | Common Shares | 9,533,773 | $3.08 | Gotham Green Credit Partners SPV 1, L.P. | F1, F2, F3, F4, F5 | |||
| transaction | ITHUF | Convertible Debenture | Other | $17,500,000 | 0 | 24 Jun 2022 | Common Shares | 10,649,528 | $1.61 | By Gotham Green Partners SPV V, L.P. | F1, F2, F3, F4, F5 | |||
| transaction | ITHUF | Note | Other | $1,999,750 | 0 | 24 Jun 2022 | Common Shares | 1,058,069 | $1.89 | By Gotham Green Fund 1, L.P. | F1, F2, F3, F4, F5 | |||
| transaction | ITHUF | Note | Other | $8,000,250 | 0 | 24 Jun 2022 | Common Shares | 4,232,937 | $1.89 | By Gotham Green Fund 1 (Q), L.P. | F1, F2, F3, F4, F5 | |||
| transaction | ITHUF | Note | Other | $1,466,300 | 0 | 24 Jun 2022 | Common Shares | 775,820 | $1.89 | By Gotham Green Fund II, L.P. | F1, F2, F3, F4, F5 | |||
| transaction | ITHUF | Note | Other | $8,533,700 | 0 | 24 Jun 2022 | Common Shares | 4,515,185 | $1.89 | By Gotham Green Fund II (Q), L.P. | F1, F2, F3, F4, F5 | |||
| transaction | ITHUF | Tranche B Warrant | Other | -507,551 | -100% | 0 | 24 Jun 2022 | Common Shares | 507,551 | $1.97 | By Gotham Green Fund 1, L.P. | F1, F2, F3, F4 | ||
| transaction | ITHUF | Tranche B Warrant | Other | -2,030,520 | -100% | 0 | 24 Jun 2022 | Common Shares | 2,030,520 | $1.97 | By Gotham Green Fund 1 (Q), L.P. | F1, F2, F3, F4 | ||
| transaction | ITHUF | Tranche B Warrant | Other | -372,157 | -100% | 0 | 24 Jun 2022 | Common Shares | 372,157 | $1.97 | By Gotham Green Fund II, L.P. | F1, F2, F3, F4 | ||
| transaction | ITHUF | Tranche B Warrant | Other | -2,165,914 | -100% | 0 | 24 Jun 2022 | Common Shares | 2,165,914 | $1.97 | By Gotham Green Fund II (Q), L.P. | F1, F2, F3, F4 | ||
| transaction | ITHUF | Warrant | Other | -5,120,097 | -100% | 0 | 24 Jun 2022 | Common Shares | 5,120,097 | $1.67 | By Gotham Green Partners SPV V, L.P. | F1, F2, F3, F4 |
| Id | Content |
|---|---|
| F1 | On June 24, 2022, iAnthus Capital Holdings, Inc. issued Common Shares to the funds affiliated with Gotham Green Partners, LLC, as listed in this Form 4, in connection with the recapitalization transaction set forth in the Restructuring Support Agreement dated July 10, 2020, and amended on June 15, 2021, and the Plan of Arrangement, which was approved by the Supreme Court of British Columbia on October 5, 2020. |
| F2 | In exchange for the Common Shares, the outstanding principal amount (and accrued interest and fees) of pre-existing and matured 13% senior secured convertible debentures and 8% unsecured convertible debentures were each forgiven in part and were replaced with new non-convertible 8% unsecured debentures and non-convertible 8% secured debentures (which also includes amounts outstanding under certain interim financing secured (non-convertible) notes that were also extinguished). Plus, all existing warrants to purchase common shares, were cancelled and extinguished. |
| F3 | Gotham Green Partners, LLC is the SEC registered investment adviser to the Gotham funds. Gotham Green GP 1, LLC is the general partner of Gotham Green Fund 1, L.P. and Gotham Green Fund 1 (Q) L.P. Gotham Green GP II, LLC is the general partner of Gotham Green Fund II, L.P. and Gotham Green Fund II (Q), L.P. Gotham Green Credit Partners GP 1, LLC is the general partner of Gotham Green Credit Partners SPV 1, L.P. Gotham Green Partners SPV V GP, LLC is the general partner of Gotham Green Partners SPV V, L.P. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Sections 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of any pecuniary interest therein. |
| F4 | Currently Exercisable. |
| F5 | Represents the original maturity date of the Convertible Debentures or Note, as applicable. |