SEC Form 4 · accession 0001140361-15-045375

EMAGIN CORP · EMAN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

Dec 18, 2015

Accepted (ET)

Dec 22, 2015 · 4:57 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001046995

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Dec 18, 2015	P	266,667	$1.50	A	1,880,186	D
Common Stock^F1	holding	—	—		—	783,325	I	By Rainbow Gate Corporation
Common Stock^F2	holding	—	—		—	372,971	I	By Crestflower Corporation
Common Stock^F2	holding	—	—		—	78,478	I	By Mount Union Corp.
Common Stock^F2	holding	—	—		—	57,372	I	By Chelsea Trust Company, as Trustee

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Purchase Warrants (right to buy)^F3	$2.05	Dec 18, 2015	P	173,333	A	Jun 23, 2016	Jun 23, 2021	Common Stock	173,333	173,333	D
Series B Convertible Preferred Stock^F4,F5	$0.75	holding	—	—	—	Dec 22, 2008	—	Common Stock	1,070,667	803	D
Series B Convertible Preferred Stock^F1,F5,F4	$0.75	holding	—	—	—	Dec 22, 2008	—	Common Stock	937,333	703	I

F1These securities are owned by Rainbow Gate Corporation. The shareholder of the Reporting Person is also the same shareholder of Rainbow Gate Corporation.
F2These securities are owned solely by Crestflower Corporation, Mount Union Corp., and Chelsea Trust Company Limited, as trustee, as indicated. The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities.
F3The Stock Purchase Warrants were acquired as part of a private placement by the Issuer in accordance with the Securities Purchase Agreement, dated December 17, 2015 between the Issuer and Reporting Person.
F4The shares of Series B Convertible Preferred Stock have the rights and preferences set forth on the Certificate of Designations of Series B Convertible Preferred Stock filed with the Secretary of State for the State of Delaware on December 19, 2008. The Series B Convertible Preferred Stock has a stated value of $1,000 per share and currently has a conversion price of $0.75 per share.
F5The shares of Series B Convertible Preferred Stock were purchased on December 22, 2008 as part of a private placement with the Issuer in accordance with the Securities Purchase Agreement, dated December 18, 2008, between the Issuer and the holder.