SEC Form 4 · accession 0001354488-15-002238
Fusion Connect, Inc. · FSNN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Kaufman
Officer — Chief Strategy Officer
Period of report
Oct 7, 2014
Accepted (ET)
May 8, 2015 · 5:28 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 |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 39,091 | D | ||
| Common StockF1,F2 | holding | — | — | — | 170,000 | I | see footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF4,F3 | $3.45 | Oct 17, 2014 | P | 20,000 | A | Oct 17, 2015 | Oct 16, 2024 | Common Stock | 20,000 | 38,694 | D |
| OptionsF3 | $4.25 | Jul 29, 2013 | P | 13,694 | A | Jul 29, 2014 | Jul 28, 2023 | Common Stock | 13,694 | 0 | D |
| OptionsF1,F3 | $6.00 | Nov 30, 2012 | P | 5,000 | A | Nov 30, 2013 | Nov 30, 2022 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1On May 13, 2014, Fusion completed a 50 for 1 reverse stock split. All numbers reported on this form give effect to that stock split.
- F2These shares are held by a trust for which the filer's wife is the beneficiary.
- F3These options vest on a pro rata basis over 3 years.
- F4Represents only shares of common stock issuable upon exercise of options.