SEC Form 4 · accession 0001274877-16-000008

CurAegis Technologies, Inc. · CRGS

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

Reporting owner

Director

Period of report

Dec 6, 2016

Accepted (ET)

Dec 8, 2016 · 3:45 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001063197

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Dec 6, 2016	C	250,000	—	A	863,333	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series C Voting Convertible Preferred Stock^F1,F2	—	Dec 6, 2016	C	250,000	D	Sep 23, 2011	Sep 23, 2021	Common Stock	250,000	0	D
Common Stock Purchase Warrant	$0.25	Dec 7, 2016	A	24,000	A	Dec 7, 2016	Dec 7, 2026	Common Stock	24,000	24,000	D
Convertible Promissory Note	$0.25	Dec 7, 2016	A	—	A	Dec 7, 2016	Dec 7, 2021	Common Stock	—	—	D

F1The reporting person converted 250,000 shares of Series C Voting Convertible Preferred Stock, par value $.01 per share, into an equivalent number of shares of Common Stock of the Company, par value $.01 per share, resulting in his acquisition of 250,000 shares of Common Stock of the Company.
F2The reported securities are included within 250,000 Investment Units purchased by the reporting person on 09/23/2011. Each Investment Unit consists of one (1) share of the Company's Series C Voting Convertible Preferred Stock, par value $.01 per share, initially convertible into an equivalent number of shares of Common Stock of the Company, par value $.01 per share, and a warrant to purchase one-tenth (1/10) of a share of Common Stock exercisable immediately for ten years at an initial exercise price equal to the greater of (i) $.01, or (ii) 80% of the volume weighted average sales price per share of the Company's Common Stock during the ten consecutive trading days immediately preceding the notice of exercise.