SEC Form 4 · accession 0001029744-18-000045
SONIC FOUNDRY INC · SOFO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew D. Burish
10% Owner
Period of report
Apr 16, 2018
Accepted (ET)
Apr 18, 2018 · 4:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001029744
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 16, 2018 | P | 232,558 | $2.15 | A | 692,558 | D | |
| 9% Cumulative Voting Convertible Preferred Stock, Series AF1,F2 | holding | — | — | — | 237 | D | ||
| Common Stock | holding | — | — | — | 30,000 | I | Mr. Burish is trustee for Raquel Burish Trust and disclaims beneficial ownership in the shares. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock WarrantsF3 | $2.50 | Apr 16, 2018 | P | 232,558 | A | Apr 16, 2018 | Apr 16, 2025 | Common Stock | 232,558 | 232,558 | D |
| Common Stock Warrants | $14.00 | holding | — | — | — | Dec 22, 2014 | Dec 22, 2019 | Common Stock | 38,897 | 38,897 | D |
Explanation of responses
- F1Each share of 9% Cumulative Voting Convertible Preferred Stock, Series A, are convertible into that number of shares of common stock determined by dividing $4.23 into the liquidation amount of $1,000 per share
- F2Securities owned include dividends accumulated as of the date of this filing.
- F3N/A