SEC Form 5 · accession 0001144204-15-019100

PARETEUM Corp · TEUM

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

Reporting owner

10% Owner

Period of report

Dec 31, 2014

Accepted (ET)

Mar 27, 2015 · 9:58 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	Oct 30, 2014	X	1,082,403	$0.8744	A	11,510,440	D
Common Stock	Oct 30, 2014	S	904,830	$1.046	D	10,605,610	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F1	$1.00	Mar 17, 2014	J	1,082,403	D	Oct 31, 2009	Oct 31, 2014	Common Stock	—	0	D
Warrant^F1	$0.8744	Mar 17, 2014	J	1,082,403	A	Oct 31, 2009	Oct 31, 2014	Common Stock	—	1,082,403	D
Warrant	$1.00	Oct 30, 2014	X	1,082,403	D	Oct 31, 2009	Oct 31, 2014	Common Stock	—	0	D

F1On October 30, 2014, the Reporting Person 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. The Reporting Person paid the exercise price on a cashless basis, resulting in ETAK's withholding of 904,830 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 177,573 shares.