SEC Form 5 · accession 0001144204-15-019097

PARETEUM Corp · TEUM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President and CEO · Director · 10% Owner

Period of report

Dec 31, 2014

Accepted (ET)

Mar 27, 2015 · 9:57 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001084384

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F2	Oct 30, 2014	X	400,164	$0.8744	A	3,762,827	I	By QAT II, see footnote
Common Stock^F2	Oct 30, 2014	S	334,515	$1.046	D	3,428,312	I	By QAT II, see footnote
Common Stock	Oct 31, 2014	J	1,738,985	$0.00	A	8,194,688	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F1,F2	$1.00	Mar 17, 2014	J	400,164	D	Oct 31, 2009	Oct 31, 2014	Common Stock	400,164	0	I
Warrant^F1,F2	$0.8744	Mar 17, 2014	J	400,164	A	Oct 31, 2009	Oct 31, 2014	Common Stock	400,164	400,164	I
Warrant^F2	$1.00	Oct 30, 2014	X	400,164	D	Oct 31, 2009	Oct 31, 2014	Common Stock	400,164	0	I
Warrant^F3	$1.26	Oct 31, 2014	J	1,416,469	A	Sep 30, 2008	Sep 30, 2015	Common Stock	1,416,469	1,416,469	D
Warrant^F3	$1.47	Oct 31, 2014	J	708,234	A	Sep 30, 2008	Sep 30, 2015	Common Stock	708,234	708,234	D

F1On October 30, 2014, QAT II Investments SA ("QAT II") exercised a warrant to purchase 1,082,403 shares of the Issuer's common stock at an exercise price of $0.8744 per share. The warrant was originally issued on December 17, 2009 with an exercise price of $1.00 per share. QAT II paid the exercise price on a cashless basis, resulting in Issuer's withholding of 904,830 of the warrant shares to pay the exercise price and issuing to QAT the remaining 177,573 shares.
F2These securities are held by QAT II. Reporting Person holds a 36.97% ownership interest in QAT II and the number of securities shown here indicates the Reporting Person's proportionate interest in the Issuer's securities through QAT II. The Reporting Person is not a controlling shareholder nor has or shares the investment control over such securities and thus disclaims beneficial ownership over such securities.
F3Include shares and warrant to purchase shares the Reporting Person received from the pro rata distribution from CMV Invest CVA ("CMV I") of which the Reporting Person has a 27.50% ownership interest and CMV Invest II CVA ("CMV II") of which the Reporting Person holds a 40.75% ownership interest.