SEC Form 5/A · accession 0001493152-16-009219
VISCOUNT SYSTEMS INC · VSYS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 5/A). It replaces an earlier filing for the same period.
Reporting owner
James Cacioppo
Director
Period of report
Dec 31, 2015
Accepted (ET)
Apr 27, 2016 · 4:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001158387
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF1,F2,F4 | Nov 3, 2015 | A | 19 | — | A | 19 | I | By One East Partners Master, L.P. |
| Series B Preferred StockF1,F3,F4 | Nov 3, 2015 | A | 20 | — | A | 20 | I | By One East Partners Opportunities, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Each of One East Partners Master, L.P. ("OEP Master") and One East Partners Opportunities, L.P. ("OEP Opportunities") were issued a 14% Senior Secured Convertible Demand Promissory B Note in the original principal amount of $220,000, previously disclosed, along with Series B Preferred Stock of the issuer.
- F2These securities are held by OEP Master, an investment fund for which One East Capital Advisors ("OEP Advisors") acts as investment advisor, and with respect to which OEP Advisors shares voting and investment control. James A. Cacioppo ("Cacioppo") is the managing partner of OEP Advisors and controls the voting and investment decisions of OEP Advisors.
- F3These securities are held by OEP Opportunities, an investment fund for which OEP Advisors acts as investment advisor, and with respect to which OEP Advisors shares voting and investment control. Cacioppo is the managing partner of OEP Advisors and controls the voting and investment decisions of OEP Advisors.
- F4Cacioppo disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein and this filing should not be deemed an admission of beneficial ownership of such securities for Section 16 purposes or any other purpose.