SEC Form 4 · accession 0001354488-16-008572
Fusion Connect, Inc. · FSNN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence H Blum
Director
Period of report
Nov 16, 2016
Accepted (ET)
Nov 21, 2016 · 3:06 pm 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 |
|---|---|---|---|---|---|---|---|---|
| Common stock, par value $0.01 per shareF1 | Nov 16, 2016 | P | 13,044 | $1.15 | A | 40,806 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF3,F2 | $1.21 | Nov 16, 2016 | P | 10,000 | A | Nov 11, 2017 | Nov 11, 2026 | Common Stock | 10,000 | 32,750 | D |
Explanation of responses
- F1Owned by the Francine M. Blum Revocable Trust.
- F2Options vest on a pro-rata basis over 3 years.
- F3Includes 6,600 shares of Series B-2 Preferred Stock and 10,000 warrants.