SEC Form 4 · accession 0001493152-15-006107
Millennium Investment & Acquisition Co Inc. · SMCG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David H Lesser
Officer — CEO · Director · 10% Owner
Period of report
Dec 7, 2015
Accepted (ET)
Dec 7, 2015 · 6:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001358656
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 7, 2015 | P | 6,073 | $0.51 | A | 3,306,991 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The total common stock owned after the acquisition reported on this Form 4 includes direct ownership by Mr. Lesser of 19,073 shares; indirect ownership of 901,139 shares held by Hudson Bay Partners, LP which Mr. Lesser owns 100% of and has a reportable indirect beneficial ownership interest in such shares; 306,140 shares held by HBP PW LLC which Mr. Lesser has a reportable indirect beneficial ownership interest; 327,699 shares held by HBP PW LLC which Mr. Lesser has a reportable indirect beneficial ownership interest; and 327,699 shares held by HBP PW 2 LLC which Mr. Lesser has a reportable indirect beneficial ownership interest.