SEC Form 4/A · accession 0001214659-18-002481
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
Charles Wang
Director · 10% Owner
Period of report
Mar 24, 2018
Accepted (ET)
Mar 28, 2018 · 6:20 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 StockF1,F2,F3 | Mar 24, 2018 | A | 248,656 | $0.00 | A | 42,348,712 | I | By spouse |
| Common Stock | holding | — | — | — | 14,736,007 | D | ||
| Common StockF4 | holding | — | — | — | 22,820,650 | I | By AvantaLion LLC | |
| Common StockF5 | holding | — | — | — | 15,534,956 | I | By JK&B Capital V Special Opportunity Fund, L.P. | |
| Common StockF6 | holding | — | — | — | 256,040 | I | By trust for benefit of grandchildren |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the number of performance-based Restricted Stock Unit awards granted in February 2017 that were certified for issuance. The RSUs vest in four equal installments (on the certification date and on each of the first three anniversaries thereof).
- F2Includes 936,492 shares of common stock issuable upon the future vesting of Restricted Stock Unit awards. The reporting person is not entitled to receive the shares of common stock underlying the Restricted Stock Units, and has no rights of a shareholder with respect thereto, prior to vesting.
- F3Mr. Wang disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that Mr. Wang is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F4AvantaLion LLC is a Delaware limited liability company controlled by Mr. Wang.
- F5JK&B Capital V Special Opportunity Fund, L.P. is a limited partnership that is not controlled by Mr. Wang, who has a pecuniary interest of 85% in such fund.
- F6Mr. Wang is the trustee for each of two trusts, and his grandchildren are the beneficiaries of the trusts.
Remarks
Amendment revises FN1