SEC Form 4 · accession 0000899243-17-016417
AIRGAIN INC · AIRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James K Sims
Director · 10% Owner
Period of report
Jun 12, 2017
Accepted (ET)
Jun 14, 2017 · 9:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001272842
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Jun 12, 2017 | J | 324,035 | $0.00 | D | 1,082,006 | I | See Footnotes |
| Common StockF4 | holding | — | — | — | 220,594 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a distribution in-kind to certain shareholders of Gen 3 Partners, Inc. ("Gen 3 Partners") for no value.
- F2Represents 1,043,464 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 38,542 shares of common stock held by Gen 3 Partners.
- F3The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and James K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims, Francis X. Egan, Arthur M. Toscanini and Michael Treacy may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in their capacity as directors of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.
- F4Includes 80,447 shares acquired on June 12, 2017 in a distribution in-kind to certain shareholders of Gen 3 Partners for no value, which acquisition was exempt under Rule 16a-13.