SEC Form 4 · accession 0001654954-18-004863
Fusion Connect, Inc. · FSNN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marvin S Rosen
Director
Period of report
May 4, 2018
Accepted (ET)
May 8, 2018 · 4:32 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 | May 4, 2018 | M | 101,367 | — | A | 1,184,053 | D | |
| Common StockF2 | holding | — | — | — | 1,074 | I | IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Preferred StockF1,F3 | — | May 4, 2018 | M | 797 | D | — | — | Common Stock | 101,367 | 0 | D |
Explanation of responses
- F1The Common Stock is being issued in exchange for 50 shares Series A-1 Preferred Stock, 25 shares of Series A-2 Preferred Stock and 722 shares of Series B-2 Preferred Stock plus accrued and unpaid dividends thereon. This transaction was exempt pursuant to Rule 16b-3.
- F2Shares held through a Delaware Trust Custodian IRA.
- F3Not applicable.
Remarks
All share amounts reflect the 1-for-1.5 reverse stock split effected by Fusion on May 4, 2018.