SEC Form 4 · accession 0000914190-18-000238
ORANGEHOOK, INC. · ORHK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Whitney E. Peyton
Director · 10% Owner
Period of report
May 23, 2018
Accepted (ET)
May 25, 2018 · 5:39 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 | — | — | — | 536,202 | D | ||
| Common StockF1 | holding | — | — | — | 240,326 | I | By TruSec ID, Inc. |
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)F2,F3 | $3.28 | May 23, 2018 | A | 25,000 | A | — | May 23, 2028 | Common Stock | 25,000 | 25,000 | D |
| Common Stock Warrants (right to buy)F3 | $3.28 | May 23, 2018 | A | 150,000 | A | — | May 23, 2025 | Common Stock | 150,000 | 150,000 | D |
| Common Stock Warrants (right to buy)F3 | $7.00 | holding | — | — | — | — | Nov 20, 2020 | Common Stock | 12,500 | 12,500 | D |
| Common Stock Warrants (right to buy)F3 | $10.00 | holding | — | — | — | — | May 4, 2021 | Common Stock | 14,286 | 14,286 | D |
| Common Stock Warrants (right to buy)F3 | $7.00 | holding | — | — | — | — | Dec 2, 2021 | Common Stock | 35,750 | 35,750 | D |
| Common Stock Warrants (right to buy)F3 | $7.00 | holding | — | — | — | — | Dec 31, 2024 | Common Stock | 390,247 | 390,247 | D |
| Series OH-2 Convertible Preferred StockF4 | — | holding | — | — | — | — | — | Common Stock | 851,994 | 5,958 | D |
| 10% Convertible Promissory NoteF5 | $7.00 | holding | — | — | — | — | — | Common Stock | — | — | D |
Explanation of responses
- F1Mr. Peyton is the sole director of TruSec ID, Inc. and disclaims beneficial ownership of the shares held by TruSec ID, Inc. except to the extent of his pecuniary interest therein.
- F2The exercise price is an average of the bid and ask as prescribed by the OrangeHook 2016 Equity Incentive Plan.
- F3Fully exercisable.
- F4Each 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. This amount reflects the cumulative number of shares of Series OH-2 Convertible Preferred Stock Reporting Person holds, all previously reported.
- F5Note amount does not reflect accrued interest. Principal and interest are convertible at any time at the election of the holder, and the note is due on demand.