SEC Form 3 · accession 0001096906-17-000071
ACTIVECARE, INC. · ACAR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Dalton
10% Owner
Period of report
Jan 31, 2017
Accepted (ET)
Feb 9, 2017 · 5:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001429896
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 18,074 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series G Convertible Preferred StockF1 | — | holding | — | — | — | — | — | Common Stock | — | — | D |
Explanation of responses
- F1Mr. Dalton owns 10,805 shares of Series G Convertible Preferred Stock (the "Series G"). The Series G automatically converts upon the happening of specified events. The Series G is convertible into 240,111 shares of common stock upon the happening of such specified events. The Series G votes together with the holders of the common stock on an as converted basis.