SEC Form 4 · accession 0001654954-17-011063
Fusion Connect, Inc. · FSNN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew D Rosen
Officer — Chief Executive Officer · Director
Period of report
Nov 14, 2017
Accepted (ET)
Nov 27, 2017 · 5:26 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001071411
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF2,F1 | $2.51 | Nov 14, 2017 | A | 822,298 | A | — | Nov 13, 2027 | Common stock, par value $0.01 per share | 822,298 | 926,494 | D |
Explanation of responses
- F1Two thirds of these options vested upon grant and the remaining one third vest on February 3, 2018.
- F2Includes (i) options to purchase a total of 895,776 shares of Fusion common stock, (ii) warrants to purchase a total of 14,695 shares of Fusion common stock, (iii) 76 shares of Fusion's Series B-2 Preferred Stock currently convertible into 15,200 shares of Fusion common stock, and (iv) 50 shares of Fusion's Series A-1 Preferred Stock and 5 shares of Fusion's Series A-2 Preferred Stock convertible into a total of 823 shares of Fusion common stock.