SEC Form 4 · accession 0000921895-18-002757
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
Oct 10, 2018
Accepted (ET)
Oct 11, 2018 · 7:47 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 | Oct 10, 2018 | A | 20,000 | $0.00 | A | 251,507 | I | See footnotes |
| Common StockF1,F2,F3,F4,F5,F7 | Oct 10, 2018 | A | 20,000 | $0.00 | A | 20,000 | I | See footnotes |
| Common StockF2,F3,F4,F5,F8 | holding | — | — | — | 227,645 | I | See footnotes | |
| Common StockF9,F2,F3,F4,F5 | holding | — | — | — | 3,768,900 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares vest in full one year from the grant date on October 10, 2019.
- F2This statement is jointly filed by and on behalf of each of 210/GSB Acquisition Partners, LLC ("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 owners of the securities covered by this statement are GSB Acquisition, Mr. Webb, 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.
- F3210 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 shareholder of, and may be deemed to beneficially own securities owned by, RHA Investments.
- F4The 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.
- F5The reporting persons may be deemed to be a member of a group with respect to GlobalSCAPE, Inc. (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.
- F6Represents shares directly beneficially owned solely by Mr. Webb.
- F7Represents shares directly beneficially owned solely by Mr. Alpert.
- F8Represents shares directly beneficially owned by ACM and indirectly by RHA Investments and Mr. Alpert.
- F9Represents shares directly beneficially owned by GSB Acquisition, a ten percent owner of the Issuer, and indirectly by the other reporting persons.
Remarks
Exhibit Index Exhibit 99.1 - Joint Filer Information and Exhibit 99.2 - Joint Filing Agreement (both filed previously on that certain Form 4 filed with the Securities and Exchange Commission on August 22, 2017).