SEC Form 4 · accession 0001140361-16-052046
Fusion Connect, Inc. · FSNN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Unterberg Capital LLC
10% Owner
Period of report
Dec 31, 2015
Accepted (ET)
Feb 12, 2016 · 11:48 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 commonF1,F3 | Feb 11, 2016 | P$0 | 17,153 | — | A | 3,709,499 | D | |
| Fusion Telecom commonF2,F3 | Feb 11, 2016 | P$0 | 1,666,667 | — | A | 3,692,346 | D | |
| Fusion Telecom commonF1,F3 | Dec 31, 2015 | P$0 | 23,112 | — | A | 2,025,679 | 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 | D | Feb 8, 2016 | Jan 19, 2016 | common | 1,666,667 | 5,000 | D |
Explanation of responses
- F1These securities were acquired by a dividend for no additional consideration
- F2These securities were acquired through the conversion of the Series B-2 Senior Cumulative Convertible Preferred Stock.
- 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 333.3334 basis into common shares