SEC Form 4 · accession 0000899243-15-001316
CONNECTURE INC · CNXR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Jeffrey R Jay
10% Owner
GREAT POINT PARTNERS LLC
10% Owner
GREAT POINT PARTNERS I LP
10% Owner
David Kroin
10% Owner
Great Point Partners I GP, LLC
10% Owner
GPP - Connecture, LLC
10% Owner
Period of report
Jun 30, 2015
Accepted (ET)
Jul 16, 2015 · 4:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001211759
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 30, 2015 | G | 10,000 | $0.00 | D | 29,703 | D | |
| Common StockF2 | holding | — | — | — | 4,127,232 | I | By GPP-Connecture LLC | |
| Common StockF3 | holding | — | — | — | 36,493 | D | ||
| Common StockF4 | holding | — | — | — | 47,235 | I | See Remarks | |
| Common StockF5 | holding | — | — | — | 28,696 | I | See Remarks |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are held directly by David Kroin.
- F2Shares held directly by GPP-Connecture LLC ("GPPC"). Great Point Partners I GP, LLC is the general partner of Great Point Partners I, LP, which is the sole managing member of GPPC. Dr. Jeffrey R. Jay is the senior managing member, and Mr. Kroin is the special managing member, of Great Point Partners LLC, which is the investment manager to Great Point Partners I, L.P. Each of Dr. Jay, Mr. Kroin, Great Point Partners LLC, Great Point Partners I GP, LLC and Great Point Partners I, LP may be deemed to have voting and dispositive power over the shares held by GPPC, and disclaim beneficial ownership of the shares held by GPPC, except to the extent of their pecuniary interest therein.
- F3These shares are held directly by Dr. Jay.
- F4Includes 11,341 shares held by a trust of which Dr. Jay is a trustee and of which beneficiaries may be considered members of Dr. Jay's immediate family, and 35,894 shares held by a trust of which Dr. Jay is the income beneficiary (but not the trustee). In each case Dr. Jay disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
- F5Includes shares owned by Biomedical Offshore Value Fund, Ltd. ("BOVF"). Great Point Partners, LLC is the investment manager of BOVF, and by virtue of such status may be deemed to be the beneficial owner of the such shares. Each of Dr. Jay, as senior managing member of Great Point Partners, LLC, and Mr. Kroin, as special managing member of Great Point Partners, LLC, has voting and investment power with respect to such shares, and therefore may be deemed to be the beneficial owner of such shares. Each of Dr. Jay and Mr. Kroin disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.