SEC Form 4/A · accession 0001144204-16-110743
Research Solutions, Inc. · RSSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Chad J. Cooper
Director
Period of report
Jun 24, 2016
Accepted (ET)
Jun 30, 2016 · 1:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001386301
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 24, 2016 | P | 50,000 | $1.00 | A | 50,000 | D | |
| Common Stock | holding | — | — | — | 1,500 | I | By IRA | |
| Common Stock | holding | — | — | — | 315,500 | I | By Do Capital Management |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrants (right to buy)F1 | $1.25 | Jun 24, 2016 | P | 15,000 | A | Jun 24, 2016 | Jun 23, 2021 | Common Stock | 15,000 | 15,000 | D |
| Common Stock Warrants (right to buy)F2 | $1.25 | Jun 24, 2016 | P | 180,000 | A | Jun 24, 2016 | Jun 23, 2021 | Common Stock | 180,000 | 180,000 | D |
Explanation of responses
- F1The reported securities are included within the units purchased by the reporting person for $1.00 per unit. Each unit consists of one share of common stock and one warrant to purchase three-tenths of one share of common stock.
- F2The reported securities were issued in the reporting person's name as a portion of the consideration provided to the placement agent (for whom the reporting person serves as a Managing Director) for the sale of units by the Registrant, as directed by the placement agent.
Remarks
The reporting person filed this amendment to include shares of the registrant's common stock beneficially owned indirectly.