SEC Form 4 · accession 0000899243-17-020889
GLOBALSCAPE INC · GSB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
COVENANT RHA PARTNERS, L.P.
10% Owner
C Clark Webb
10% Owner
Robert H Alpert
10% Owner
CCW/LAW Holdings, LLC
10% Owner
210/GSB Acquisition Partners, LLC
10% Owner
210 Capital, LLC
10% Owner
RHA Investments, Inc.
10% Owner
Period of report
Aug 18, 2017
Accepted (ET)
Aug 22, 2017 · 8:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001112920
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3,F4,F5,F6 | Aug 18, 2017 | P | 20,000 | $3.8197 | A | 3,736,800 | D | |
| Common StockF7,F2,F3,F4,F5,F6 | Aug 21, 2017 | P | 20,000 | $3.856 | A | 3,756,800 | D | |
| Common StockF8,F2,F3,F4,F5,F6 | Aug 22, 2017 | P | 12,100 | $3.8779 | A | 3,768,900 | D | |
| Common StockF3,F4,F5,F6,F9 | holding | — | — | — | 231,507 | I | See Footnotes | |
| Common StockF3,F4,F5,F6,F10 | holding | — | — | — | 231,500 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This price represents the approximate weighted average price per share of common stock of GlobalSCAPE, Inc. (the "Issuer"), par value $0.001 per share ("Shares"), of purchases that were executed at prices ranging from $3.75 to $3.86 per Share. The reporting persons undertake to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the price per Share and the number of Shares purchased at each price.
- F10Represents Shares directly beneficially owned by ACM and indirectly by RHA Investments and Mr. Alpert.
- F2Represents Shares directly beneficially owned by 210/GSB Acquisition Partners, LLC ("GSB Acquisition"), a ten percent owner of the Issuer, and indirectly by the other reporting persons.
- F3This statement is jointly filed by and on behalf of each of GSB Acquisition, 210 Capital, LLC ("210 Capital"), Covenant RHA Partners, L.P. ("RHA Partners"), CCW/LAW Holdings, LLC ("CCW Holdings"), RHA Investments, Inc. ("RHA Investments"), C. Clark Webb and Robert H. Alpert. The direct beneficial owner of the securities covered by this statement are GSB Acquisition, Mr. Webb and Atlas Capital Management, L.P. ("ACM"), a limited partnership whose securities may be deemed to be beneficially owned by RHA Investments, as the general partner of ACM, and Mr. Alpert, as the President and sole shareholder of RHA Investments.
- F4210 Capital is the sole member of, and may be deemed to beneficially own securities owned by, GSB Acquisition. RHA Partners and CCW Holdings are the only members of, and may each be deemed to beneficially own securities owned by, 210 Capital. Mr. Webb is the sole member of, and may be deemed to beneficially own securities owned by, CCW Holdings. RHA Investments is the general partner of, and may be deemed to beneficially own securities owned by, RHA Partners. Mr. Alpert is the President and sole sharehoder of, and may be deemed to beneficially own securities owned by, RHA Investments.
- F5The reporting persons state that neither the filing of this statement nor anything herein shall be deemed an admission that such persons are, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, the beneficial owners of any securities covered by this statement. The reporting persons disclaim beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such persons in such securities.
- F6The reporting persons may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Exchange Act. The reporting persons declare that neither the filing of this statement nor anything herein shall be construed as an admission that such persons are, for the purposes of Section 13(d) or 13(g) of the Exchange Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer.
- F7This price represents the approximate weighted average price per Share of purchases that were executed at prices ranging from $3.83 to $3.88 per Share. The reporting persons undertake to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the price per Share and the number of Shares purchased at each price.
- F8This price represents the approximate weighted average price per Share of purchases that were executed at prices ranging from $3.87 to $3.88 per Share. The reporting persons undertake to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the price per Share and the number of Shares purchased at each price.
- F9Represents Shares directly beneficially owned solely by Mr. Webb.
Remarks
Exhibit Index Exhibit 99.1 - Joint Filer Information (filed herewith) Exhibit 99.2 - Joint Filing Agreement (filed herewith)