SEC Form 4/A · accession 0001140361-17-026441
Fusion Connect, Inc. · FSNN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Unterberg Capital LLC
10% Owner
Period of report
Dec 31, 2015
Accepted (ET)
Jun 28, 2017 · 2:36 pm EDT
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,F2,F3 | Feb 11, 2016 | P$0 | 17,153 | — | A | 4,029,499 | D | |
| Fusion Telecom commonF4,F2,F3 | Feb 11, 2016 | P$0 | 1,666,667 | — | A | 4,012,346 | D | |
| Fusion Telecom commonF1,F2,F3 | Dec 31, 2015 | P$0 | 23,112 | — | A | 2,345,679 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities were acquired by a dividend for no additional consideration.
- F2This amended form 4 is being filed to correct an error in calculation of the number of shares of common stock beneficially owned by the reporting person following the reported transaction.
- F3These securities are held directly by Unterberg Koller Capital Fund L.P. and Unterberg Technology Partners, L. P. (both located at the same address as the Reporting Person), of which the Reporting Person is the Investment Manager.
- F4These securities were acquired through the conversion of the Series B-2 Senior Cumulative Convertible Preferred Stock.