SEC Form 4 · accession 0001209191-18-017766
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
Mar 5, 2018
Accepted (ET)
Mar 7, 2018 · 5:30 pm EST
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 StockF1,F2,F3 | Mar 5, 2018 | S | 2,431 | $9.2502 | D | 1,060,317 | I | See Footnotes |
| Common StockF2,F3 | Mar 6, 2018 | S | 5,569 | $9.25 | D | 1,054,748 | I | See Footnotes |
| Common Stock | holding | — | — | — | 224,594 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $9.25 to $9.2550. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F2Following the transaction reported herein, includes 1,043,464 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 11,284 shares of common stock held by Gen 3 Partners, Inc. ("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 may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in his capacity as a director 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.