SEC Form 5 · accession 0001144204-15-019101

PARETEUM Corp · TEUM

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

Reporting owner

QAT Investments SA

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
Common Stock	Sep 30, 2008	A	367,616	$0.00	A	403,175	D
Common Stock	Feb 20, 2009	A	1,000,000	$0.00	A	403,175	D
Common Stock	Mar 31, 2009	A	34,000	$0.00	A	403,175	D
Common Stock	Jun 17, 2009	A	16,667	$0.00	A	403,175	D
Common Stock	Jun 30, 2009	A	124,800	$0.00	A	403,175	D
Common Stock	Jun 30, 2009	A	150,000	$0.00	A	403,175	D
Common Stock	Jan 8, 2010	S	432,262	$1.00	D	403,175	D
Common Stock	Jan 8, 2010	S	2,000	$1.00	D	403,175	D
Common Stock	Jan 15, 2010	S	329,545	$1.10	D	403,175	D
Common Stock	Feb 4, 2010	S	24,390	$1.40	D	403,175	D
Common Stock	Feb 8, 2010	S	75,503	$1.10	D	403,175	D
Common Stock	Feb 8, 2010	S	48,780	$1.40	D	403,175	D
Common Stock	Feb 8, 2010	S	5,185	$1.35	D	403,175	D
Common Stock	Feb 9, 2010	S	6,312	$1.10	D	403,175	D
Common Stock	Feb 9, 2010	S	50,277	$1.35	D	403,175	D
Common Stock	Feb 12, 2010	S	6,637	$1.10	D	403,175	D
Common Stock	Feb 12, 2010	S	24,336	$1.40	D	403,175	D
Common Stock	Feb 17, 2010	S	93,900	$1.10	D	403,175	D
Common Stock	Feb 22, 2010	S	154,136	$1.10	D	403,175	D
Common Stock	Mar 1, 2010	S	162,336	$1.25	D	403,175	D
Common Stock	Mar 3, 2010	S	100,000	$1.10	D	403,175	D
Common Stock	Mar 5, 2010	S	120,000	$1.10	D	403,175	D
Common Stock	Mar 15, 2010	S	59,484	$1.22	D	403,175	D
Common Stock^F7	Jun 30, 2010	A	546,092	$0.00	A	403,175	D
Common Stock^F8	Sep 1, 2010	P	174,420	$1.50	A	403,175	D
Common Stock^F9	Sep 1, 2010	P	198,501	$1.50	A	403,175	D
Common Stock	Sep 8, 2010	S	105,000	$1.25	D	403,175	D
Common Stock	Sep 14, 2010	S	79,550	$1.25	D	403,175	D
Common Stock^F8	Sep 15, 2010	P	25,624	$1.50	A	403,175	D
Common Stock	Sep 16, 2010	S	20,000	$1.25	D	403,175	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F10	$1.05	Aug 18, 2008	P	357,172	A	Aug 18, 2008	Aug 18, 2015	Common Stock	357,172	892,930	I
Warrant^F10	$1.26	Aug 18, 2008	P	357,172	A	Aug 18, 2008	Aug 18, 2015	Common Stock	357,172	892,930	I
Warrant^F10	$1.47	Aug 18, 2008	P	178,586	A	Aug 18, 2008	Aug 18, 2015	Common Stock	178,586	892,930	I
Warrant^F11	$1.26	Aug 18, 2008	J	1,734,081	A	Aug 18, 2008	Aug 18, 2015	Common Stock	1,734,081	3,034,645	I
Warrant^F11	$1.47	Aug 18, 2008	J	867,041	A	Aug 18, 2008	Aug 18, 2015	Common Stock	867,041	3,034,645	I
Warrant^F11	$1.05	Aug 18, 2008	J	173,409	A	Aug 18, 2008	Aug 18, 2015	Common Stock	173,409	3,034,645	I
Warrant^F11	$1.26	Aug 18, 2008	J	173,409	A	Aug 18, 2008	Aug 18, 2015	Common Stock	173,409	3,034,645	I
Warrant^F11	$1.47	Aug 18, 2008	J	86,705	A	Aug 18, 2008	Aug 18, 2015	Common Stock	86,705	3,034,645	I

Explanation of responses

F1These shares were issued at no cost to the Reporting Person in lieu of certain cash compensation for services provided by Steven van der Velden and Mark Nije during 2007 to 2009, pursuant to certain consulting agreements between the Company and the Reporting Person.
F10These warrants were issued to QMG pursuant to the 2008 Placement Agent Agreement. The Reporting Person owns 100% of outstanding capital stock of QMG and is therefore the beneficial owner of these warrants.
F11These warrants are held by RWC.in which the Reporting Person holds a 51.3% interest. RWC acquired these warrants pursuant to a Settlement Agreement dated May 13, 2008 between the Company and RWC.
F2These shares were issued at no cost to the Reporting Person in lieu of certain cash compensation for services provided by Johan Dejager and Yves Van Sante during 2008 pursuant to certain consulting agreements between the Company and the Reporting Person.
F3Shares were issued to the Reporting Person for services provided by Quercus Management Group N.V. ("QMG") pursuant to a private placement agent agreement dated May 8, 2008 among the issuer, QMG and Amelia (the "2008 Placement Agent Agreement"). The Reporting Person owns 100% of outstanding capital stock of QMG and is therefore the beneficial owner of these shares.
F4Shares were issued to the Reporting Person for services provided by QMG pursuant to the 2008 Placement Agent Agreement. The Reporting Person owns 100% of outstanding capital stock of QMG and is therefore the beneficial owner of these shares.
F5These shares were issued at no cost to the Reporting Person in lieu of certain cash compensation for services provided by Steven van der Velden during 2008 pursuant to certain consulting agreement between the Company and the Reporting Person.
F6These shares were issued at no cost to the Reporting Person in lieu of certain cash bonus for services provided by Steven van der Velden pursuant to certain consulting agreement between the Company and the Reporting Person
F7Shares were issued at no cost to the Reporting Person in lieu of certain cash compensation for services provided by Steven van der Velden during the first and second quarter of 2010, pursuant to certain consulting agreement between the Company and the Reporting Person
F8These shares were acquired by the Reporting Person from Rising Water Capital, A.G.("RWC"), in which the Reporting Person holds a 51.3% interest, in a private transaction pursuant to Regulation S;
F9These shares were acquired by the Reporting Person from Yves Sante in a private transaction pursuant to Regulation S.

Remarks

Due to the EDGAR limitation that the maximum number of rows on a Form 5 is 30, the reporting person is filing two Form 5s for the fiscal year ended December 31, 2015.