SEC Form 4 · accession 0001140361-16-070497
P10 Industries, Inc. · PIOE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 17, 2016
Accepted (ET)
Jun 21, 2016 · 6:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001044435
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Jun 17, 2016 | S | 25,148 | $0.49 | D | 2,608,685 | D | |
| Common SharesF1 | Jun 20, 2016 | S | 3,662 | $0.49 | D | 2,605,023 | D | |
| Common SharesF1 | Jun 21, 2016 | S | 95,000 | $0.47 | D | 2,510,023 | D | |
| Common SharesF1 | holding | — | — | — | 2,633,833 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1PVAM Perlus Microcap Fund L.P. (formerly The Perlus Microcap Fund L.P.) is the beneficial owner of the shares of common stock of Key Technology, Inc. (the "Shares"). The Shares are held in the account of PVAM Perlus Microcap Fund L.P., the investments of which are managed by Pacific View Asset Management (UK) LLP (formerly Perlus Investment Management LLP) of which PVAM Holdings Ltd. ("PVAM") is the managing member. Pacific View Asset Management (UK) LLP ("PVAM LLP") exercises voting power and shares dispositive control over the Shares and PVAM shares indirect voting and dispositive power over the Shares. Each of PVAM and PVAM LLP disclaims beneficial ownership of the Shares, except to the extent of any pecuniary interest therein. This report shall not be deemed an admission that either PVAM or PVAM LLP is a beneficial owner of the Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or any other purpose.