Form4insider filings, from the source

SEC Form 4 · accession 0000899243-17-013023

FTE Networks, Inc. · FTNW

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

Reporting owners
Period of report
Sep 30, 2016
Accepted (ET)
May 12, 2017 · 9:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001122063

Table I — non-derivative securities

SecurityDateCodeSharesPriceA/DOwned afterD/INature of ownership
Common StockF1,F2,F3,F4,F5,F6Mar 3, 2017J6,420,020—A26,120,650ISee Footnote
Common StockF1,F2,F3,F4,F5,F6Apr 7, 2017J1,978,068—A31,848,718ISee Footnote
Common StockF1,F2,F6May 8, 2017J26,215,409—A58,064,127ISee Footnote

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
Warrant (right to buy)F1,F2,F3,F4,F5$0.80Sep 30, 2016J2,343,750A——Common Stock2,343,75013,450,630I
Warrant (right to buy)F1,F2,F3,F4,F5$0.40Nov 11, 2016J2,500,000A——Common Stock2,500,00015,950,630I
Warrant (right to buy)F1,F2,F3,F4,F5$0.40Dec 23, 2016J3,750,000A——Common Stock3,750,00019,700,630I
Warrant (right to buy)F1,F2,F3,F4,F5$0.40Mar 29, 2017J3,750,000A——Common Stock2,343,75029,870,650I

Explanation of responses

Remarks

The Reporting Persons filing this Form 4 jointly are the following: Lateral Investment Management, LLC; Lateral FTE Feeder LLC; Lateral U.S. Credit Opportunities Fund, L.P.; Lateral Credit Opportunities, LLC; Kenneth Masters; and Dhamitha Richard de Silva. The address of each of the Reporting Persons is 1825 South Grant Street, Suite 210, San Mateo, CA 94402-2672.