SEC Form 4 · accession 0001209191-17-039153
SOUNDTHINKING, INC. · SSTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 12, 2017
Accepted (ET)
Jun 12, 2017 · 4:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001351636
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 12, 2017 | C | 140,723 | $0.00 | A | 311,535 | I | By Trust |
| Common StockF1 | Jun 12, 2017 | C | 808,700 | $0.00 | A | 1,120,235 | I | By Trust |
| Common StockF2 | Jun 12, 2017 | C | 72,068 | $0.00 | A | 202,173 | I | By Limited Liability Company |
| Common StockF2 | Jun 12, 2017 | C | 871,416 | $0.00 | A | 1,073,589 | I | By Limited Liability Company |
| Common StockF3 | Jun 12, 2017 | P | 91,000 | $11.00 | A | 91,000 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A-2 Preferred StockF5,F1,F4 | — | Jun 12, 2017 | C | 196,666 | D | — | — | Common Stock | 140,723 | 0 | I |
| Series B-1 Preferred StockF5,F1,F6 | — | Jun 12, 2017 | C | 808,700 | D | — | — | Common Stock | 808,700 | 0 | I |
| Series A-2 Preferred StockF5,F2,F4 | — | Jun 12, 2017 | C | 100,718 | D | — | — | Common Stock | 72,068 | 0 | I |
| Series B-1 Preferred StockF5,F2,F6 | — | Jun 12, 2017 | C | 871,416 | D | — | — | Common Stock | 871,416 | 0 | I |
| Warrant (Right to Buy)F1,F7,F8 | — | Jun 12, 2017 | C | 162,158 | A | — | Jul 12, 2019 | Common Stock | 162,158 | 162,158 | I |
| Warrant (Right to Buy)F2,F7,F8 | — | Jun 12, 2017 | C | 106,136 | A | — | Feb 13, 2021 | Common Stock | 106,136 | 106,136 | I |
Explanation of responses
- F1Shares held directly by The Gary M. Lauder Revocable Trust, of which Gary M. Lauder is a Trustee.
- F2Shares held directly by Lauder Partners LLC, of which Gary M. Lauder is the Managing Member.
- F3Shares held directly by the 1992 GRAT Remainder Trust FBO Gary Lauder, of which Gary M. Lauder is a Trustee.
- F4Each share of Series A-2 Preferred Stock automatically converted into 0.715548 shares of Common Stock upon the closing of the Issuer's initial public offering of Common Stock and has no expiration date.
- F5Inapplicable.
- F6Each share of Series B-1 Preferred Stock automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering of Common Stock and has no expiration date.
- F7Right has converted from right to buy Series B-1 Preferred Stock to a right to buy Common Stock.
- F8Immediate.