SEC Form 4 · accession 0001140361-16-048424
Fusion Connect, Inc. · FSNN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Unterberg Capital LLC
10% Owner
Period of report
Dec 14, 2015
Accepted (ET)
Jan 22, 2016 · 11:09 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001071411
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Fusion Telecom commonF2 | Dec 14, 2015 | P | 1,834,862 | $2.18 | A | 2,002,567 | D | |
| Fusion Telecom commonF1,F3 | Sep 30, 2015 | P$0 | 33,848 | — | A | 167,705 | D | |
| Fusion Telecom commonF1,F3 | Jun 30, 2015 | P$0 | 35,047 | — | A | 133,857 | D | |
| Fusion Telecom commonF1,F3 | Mar 31, 2015 | P$0 | 17,067 | — | A | 98,810 | D | |
| Fusion Telecom commonF1,F3 | Dec 31, 2014 | P$0 | 22,558 | — | A | 81,743 | D | |
| Fusion Telecom commonF3 | Nov 10, 2014 | P | 5,000 | $3.3239 | A | 59,185 | D | |
| Fusion Telecom commonF3 | Nov 6, 2014 | P | 9,600 | $3.3789 | A | 54,185 | D | |
| Fusion Telecom commonF1,F3 | Sep 30, 2014 | P$0 | 17,708 | — | A | 44,585 | D | |
| Fusion Telecom commonF1,F3 | Jun 30, 2014 | P$0 | 12,356 | — | A | 26,877 | D | |
| Fusion Telecom commonF1,F3 | Mar 31, 2014 | P$0 | 14,521 | — | A | 14,521 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B-2 Senior cumulative convertible preferred stockF4,F3 | $3.00 | Dec 31, 2013 | C | 5,000 | A | Feb 8, 2016 | Jan 19, 2016 | common | 1,666,667 | 5,000 | D |
| Fusion Telecom $6.25 warrantsF5,F3 | $6.25 | Dec 31, 2013 | C | 320,000 | A | Jan 19, 2016 | Dec 30, 2018 | common | 320,000 | 320,000 | D |
Explanation of responses
- F1These securities were acquired by a dividend for no additional consideration
- F2These securities are held directly by Unterberg Technology Partners L.P. (located at the same address as the Reporting Person), of which the Reporting Person is the Investment Manager
- F3These securities are held directly by Unterberg Koller Capital Fund L.P. (located at the same address as the Reporting Person), of which the Reporting Person is the Investment Manager
- F4Convertible on a 1 for 200 basis into common shares
- F5Convertible on a 1 for 1 basis into common shares