SEC Form 4 · accession 0001213900-17-006980
SG BLOCKS, INC. · SGBX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Hillair Capital Investments LP
10% Owner
Sean M McAvoy
Director · 10% Owner
Hillair Capital Management LLC
10% Owner
Period of report
Jun 27, 2017
Accepted (ET)
Jun 29, 2017 · 4:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001023994
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jun 27, 2017 | P | 110,000 | $5.00 | A | 937,619 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Persons purchased the shares in connection with the public offering of the issuer's common stock pursuant to the prospectus, dated June 21, 2017, and accompanying registration statement on Form S-1/A, dated June 16, 2017.
- F2The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Capital"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Capital, and Sean M. McAvoy, as the manager of Hillair Management. Hillair Management disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.