SEC Form 4 · accession 0000914190-18-000233
ORANGEHOOK, INC. · ORHK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert F. Riess
Officer — COO & CMO
Period of report
May 23, 2018
Accepted (ET)
May 25, 2018 · 5:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001503985
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 143,813 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F4,F3 | $3.28 | May 23, 2018 | A | 125,000 | A | — | May 23, 2028 | Common Stock | 125,000 | 125,000 | D |
| Series OH-2 Convertible Preferred StockF1 | — | holding | — | — | — | — | — | Common Stock | 18,590 | 130 | D |
| Common Stock Warrants (right to buy)F2 | $7.00 | holding | — | — | — | — | Oct 16, 2021 | Common Stock | 7,150 | 7,150 | D |
| Common Stock Warrants (right to buy)F2 | $7.00 | holding | — | — | — | — | Mar 1, 2023 | Common Stock | 2,145 | 2,145 | D |
Explanation of responses
- F1Each share of Series OH-2 Convertible Preferred Stock is convertible at any time at the election of the holder into 143 shares of OrangeHook common stock and does not have an expiration date.
- F2Fully exercisable.
- F341,667 shares vested on 5/23/18 and 41,667 shares will vest on 5/23/19 and 41,666 shares will vest on 5/23/20.
- F4The exercise price is an average of the bid and ask as prescribed by the OrangeHook 2016 Equity Incentive Plan.