13D Filing: Nokomis Capital and Sequans Communications SA ADR (SQNS)

Page 3 of 6 – SEC Filing


CUSIP No. 817323108 13D
  1

NAME OF
REPORTING PERSONS

Brett Hendrickson

  2

CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*

(a)  ☐        (b)  ☐

  3

SEC USE ONLY

  4

SOURCE OF FUNDS*

AF/OO

  5

CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)

or 2(e)

  6

CITIZENSHIP OR PLACE OF
ORGANIZATION

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7

SOLE VOTING POWER

0

  8

SHARED VOTING POWER

9,609,513 (1)

  9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

9,609,513 (1)

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

9,609,513 (1)

12

CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (11) EXCLUDES CERTAIN SHARES*

13

PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)

9.9%

14

TYPE OF REPORTING PERSON*

HC, IN

(1) The reporting persons beneficial ownership was calculated assuming that the underwriters of the underwritten public offering described in Item 4 have exercised their option to purchase 1,875,000 shares of Common
Stock (as defined below) to cover over-allotments. If such over-allotment option is not exercised, the reporting person would be deemed to beneficially own 9,401,513 shares of Common Stock.
* SEE INSTRUCTIONS BEFORE FILLING OUT

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