SEC Form 5 · accession 0001144204-15-019102
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 · 9:59 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 | Sep 20, 2010 | S | 215,000 | $1.25 | D | 403,175 | D | |
| Common Stock | Sep 23, 2010 | S | 120,000 | $1.50 | D | 403,175 | D | |
| Common StockF1 | Sep 26, 2010 | S | 33,300 | $2.00 | D | 403,175 | D | |
| Common Stock | Sep 26, 2010 | S | 11,100 | $1.50 | D | 403,175 | D | |
| Common Stock | Sep 28, 2010 | S | 358,593 | $1.35 | D | 403,175 | D | |
| Common Stock | Sep 28, 2010 | S | 150,000 | $1.50 | D | 403,175 | D | |
| Common StockF2 | Sep 28, 2010 | S | 35,000 | $2.00 | D | 403,175 | D | |
| Common StockF3 | Sep 28, 2010 | S | 5,000 | $1.75 | D | 403,175 | D | |
| Common StockF4 | Mar 12, 2010 | S | 26,650 | $1.22 | D | 13,676,083 | I | See footnote |
| Common StockF4 | May 20, 2010 | S | 125,189 | $1.20 | D | 13,676,083 | I | See footnote |
| Common StockF5 | Apr 21, 2011 | A | 42,912 | $0.00 | A | 403,175 | D | |
| Common StockF6 | Aug 2, 2011 | A | 30,427 | $0.00 | A | 403,175 | D | |
| Common StockF7 | Oct 24, 2011 | A | 26,488 | $0.00 | A | 403,175 | D | |
| Common StockF8 | Mar 1, 2012 | A | 27,784 | $0.00 | A | 403,175 | D | |
| Common StockF9 | Apr 17, 2012 | A | 28,014 | $0.00 | A | 403,175 | D | |
| Common StockF10 | Oct 7, 2012 | A | 34,562 | $0.00 | A | 403,175 | D | |
| Common StockF11 | Oct 15, 2012 | A | 44,909 | $0.00 | A | 403,175 | D | |
| Common StockF12 | Jan 17, 2013 | A | 55,608 | $0.00 | A | 403,175 | D | |
| Common StockF13 | Apr 22, 2013 | A | 69,410 | $0.00 | A | 403,175 | D | |
| Common StockF14 | Aug 1, 2013 | A | 43,061 | $0.00 | A | 403,175 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person's sale of these shares were matchable under Section 16 (b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), to the extent of 33,300 shares with the Reporting Person's purchases of 33,300 shares at a price of $1.50 per share on September 1, 2010. The Reporting Person had paid $16,650 to the Company, representing the full amount of the profit realized in connection with this short-swing transaction.
- F10Shares were issued at no cost to the Reporting Person in lieu of certain cash compensation for services provided by Steven van der Velden, Yves Van Sante and Johan Dejager , during the second quarter of 2012, pursuant to certain consulting agreement between the Company and the Reporting Person
- F11Shares were issued at no cost to the Reporting Person in lieu of certain cash compensation for services provided by Steven van der Velden, Yves Van Sante and Johan Dejager, during the third quarter of 2012, pursuant to certain consulting agreement between the Company and the Reporting Person
- F12Shares were issued at no cost to the Reporting Person in lieu of certain cash compensation for services provided by Steven van der Velden, Yves Van Sante and Johan Dejager, during the fourth quarter of 2012, pursuant to certain consulting agreement between the Company and the Reporting Person
- F13Shares were issued at no cost to the Reporting Person in lieu of certain cash compensation for services provided by Steven van der Velden, Yves Van Sante and Johan Dejager , during the first quarter of 2013, pursuant to certain consulting agreement between the Company and the Reporting Person
- F14Shares 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 second quarter of 2013, pursuant to certain consulting agreement between the Company and the Reporting Person
- F2The Reporting Person's sale of these shares were matchable under Section 16 (b) of the Exchange Act, to the extent of 35,000 shares with the Reporting Person's purchases of 33,300 shares at a price of $1.50 per share on September 1, 2010. The Reporting Person had paid $17,500 to the Company, representing the full amount of the profit realized in connection with this short-swing transaction.
- F3The Reporting Person's sale of these shares were matchable under Section 16 (b) of the Exchange Act, to the extent of 5,000 shares with the Reporting Person's purchases of 33,300 shares at a price of $1.50 per share on September 1, 2010. The Reporting Person had paid $1,250 to the Company, representing the full amount of the profit realized in connection with this short-swing transaction.
- F4Shares are held by RWC, which the Reporting Person holds a 51.3% interest. RWC sold the shares to the Reporting Person in a private transaction pursuant to Regulation S.
- F5Shares were issued at no cost to the Reporting Person in lieu of certain cash compensation for services provided by Steven van der Velden, Yves Van Sante and Johan Dejager, during the first quarter of 2011, pursuant to certain consulting agreement between the Company and the Reporting Person;
- F6Shares were issued at no cost to the Reporting Person in lieu of certain cash compensation for services provided by Steven van der Velden, Yves Van Sante and Johan Dejager, during the second quarter of 2011, 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, Yves Van Sante and Johan Dejager, during the third quarter of 2011, pursuant to certain consulting agreement between the Company and the Reporting Person
- F8Shares were issued at no cost to the Reporting Person in lieu of certain cash compensation for services provided by Steven van der Velden, Yves Van Sante and Johan Dejager, during the fourth quarter of 2011, pursuant to certain consulting agreement between the Company and the Reporting Person
- F9Shares were issued at no cost to the Reporting Person in lieu of certain cash compensation for services provided by Steven van der Velden, Yves Van Sante and Johan Dejager , during the first quarter of 2012, pursuant to certain consulting agreement between the Company and the Reporting Person;
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.