SEC Form 4/A · accession 0001214659-15-006302
NEULION, INC. · NLN
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
James Richard Hale
Director · 10% Owner
Period of report
Aug 19, 2015
Accepted (ET)
Aug 25, 2015 · 5:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001387713
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Aug 19, 2015 | P | 29,000 | $0.466 | A | 29,000 | I | By Parallax Capital Fund, LP |
| Common StockF1,F2 | Aug 20, 2015 | P | 121,500 | $0.5447 | A | 150,500 | I | By Parallax Capital Fund, LP |
| Common Stock | holding | — | — | — | 12,465 | D | ||
| Common StockF2 | holding | — | — | — | 61,731,172 | I | By PCF 1, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Multiple same-way open market purchases effected on the same day within a one-dollar price range are reported on this line. The figure in the price column is the weighted average purchase price for these transactions. These trades were executed on the OTCBB, and the purchase price per share for each trade was between $0.5370 and $0.5683. The reporting person undertakes to provide, upon request by the Commission staff, NeuLion, Inc., or a security holder of NeuLion, Inc., full information regarding the number of shares purchased at each separate price.
- F2The Reporting Person is the managing member of Parallax Holdings, LLC, which is the general partner of Parallax Capital, L.P., which is the general partner of Parallax Capital Fund, L.P., which is a limited liability company member of PCF 1, LLC. The Reporting Person may be deemed to be the indirect beneficial owner of the reported securities by virtue of his indirect control of Parallax Capital Fund, LP and PCF 1, LLC. The Reporting Person disclaims beneficial ownership of the reported securities to the extent such beneficial ownership exceeds his pecuniary interests therein.