Filing Details
- Accession Number:
- 0001209191-18-013131
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-23 17:53:55
- Reporting Period:
- 2018-02-22
- Accepted Time:
- 2018-02-23 17:53:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1697152 | Convergeone Holdings Inc. | CVON | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1190621 | Richard Katzman | C/O Convergeone Holdings, Inc. 3344 Highway 149 Eagan MN 55121 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-02-22 | 125,000 | $8.00 | 125,000 | No | 4 | P | Indirect | By Katzman Family LLC |
| Common Stock | Acquisiton | 2018-02-22 | 48,375 | $0.00 | 48,375 | No | 4 | J | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Katzman Family LLC |
| No | 4 | J | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant (Right to Buy) | Acquisiton | 2018-02-22 | 7,500 | $0.00 | 7,500 | $11.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 7,500 | 2018-04-12 | 2023-02-22 | No | 4 | J | Direct |
Footnotes
- Mr. Katzman is the investment manager of Katzman Family LLC and has sole voting and investment power with respect to the shares held by Katzman Family LLC.
- Richard Katzman received 48,375 shares of Common Stock of the Issuer as result of stock transfer made by Forum Investors I, LLC on February 22, 2018.
- Richard Katzman received a warrant to purchase up to 7,500 shares of Common Stock of the Issuer as result of transfer made by Forum Investors I, LLC on February 22, 2018.
- The warrant will become exercisable 12 months from the closing of the Issuer's initial public offering, which occurred on April 12, 2017.
- The warrant will expire five years after the completion of that certain Agreement and Plan of Merger, dated as of November 30, 2017, by and among the Issuer, FMC Merger Subsidiary Corp., FMC Merger Subsidiary LLC, Old C1 and Clearlake Capital Management III, L.P. in the capacity as the Seller Representative, or earlier upon redemption.
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