SEC Form 4 · accession 0001144204-16-102184
Inventergy Global, Inc. · INVT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W. Frank King
Director
Period of report
May 13, 2016
Accepted (ET)
May 16, 2016 · 9:59 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001084752
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D Convertible Preferred StockF2,F1 | $1.98 | May 13, 2016 | P | 19 | A | May 13, 2016 | — | Common stock | 9,611 | 19 | D |
| Warrants to Purchase Common StockF2,F3 | $1.87 | May 13, 2016 | P | 8,170 | A | Nov 14, 2016 | Nov 14, 2021 | Common stock | 8,170 | 8,170 | D |
Explanation of responses
- F1Not applicable.
- F2Reflects the purchase price of one share of Series D convertible preferred stock and a warrant to purchase 0.85 shares of common stock.
- F350% of the warrants vested upon issuance and the remaining warrants may only be exercised if any of the reporting person's shares of Series D preferred stock remain outstanding as of such date.