SEC Form 4 · accession 0001013762-15-000129
DecisionPoint Systems, Inc. · DPSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert C Schroeder
Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 10, 2015 · 5:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001505611
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D Convertible Preferred StockF1 | $0.71 | Dec 20, 2012 | P | 4,000 | A | Dec 20, 2012 | — | Common Stock | 56,338 | 4,000 | D |
| Warrants (Right to Buy) | $1.10 | Dec 31, 2012 | A | 126,750 | A | Dec 31, 2012 | Dec 31, 2017 | Common Stock | 126,750 | 130,750 | D |
| Series E Convertible Preferred StockF1 | $0.50 | Nov 12, 2013 | P | 2,000 | A | Nov 12, 2013 | — | Common Stock | 40,000 | 132,750 | D |
| Warrants (Right to Buy) | $0.55 | Nov 22, 2013 | A | 120,700 | A | Nov 22, 2013 | Nov 22, 2018 | Common Stock | 120,700 | 253,450 | D |
| Non-qualified Stock Options (right to buy) | $0.53 | Jan 2, 2014 | A | 18,868 | A | Dec 31, 2014 | Jan 2, 2017 | Common Stock | 18,868 | 272,318 | D |
| Series D Convertible Preferred StockF1 | $0.71 | Apr 22, 2014 | J | 148 | A | Apr 22, 2014 | — | Common Sock | 2,085 | 272,466 | D |
| Series E Convertible Preferred StockF1 | $0.50 | Apr 22, 2014 | J | 37 | A | Apr 22, 2014 | — | Common Stock | 740 | 272,503 | D |
| Stock Options (right to buy) | $0.46 | Jun 30, 2014 | A | 111,740 | A | Jun 30, 2014 | Jun 30, 2017 | Common Stock | 11,740 | 284,243 | D |
| Stock Options (right to buy) | $0.40 | Sep 30, 2014 | A | 13,500 | A | Sep 30, 2014 | Sep 30, 2017 | Common Stock | 13,500 | 297,743 | D |
| Stock Options (right to buy) | $0.38 | Dec 31, 2014 | A | 14,211 | A | Dec 31, 2014 | Dec 31, 2017 | Common Stock | 14,211 | 311,954 | D |
Explanation of responses
- F1The Series D Convertible Preferred Stock and Series E Convertible Preferred Stock may be converted into shares of Common Stock by the holder at any time and has no expiration date.
- F2Reflects dividend made to holders of Series D Convertible Preferred Stock that was paid (issued) in shares of Series D Convertible Preferred Stock.
- F3Reflects dividend made to holders of Series E Convertible Preferred Stock that was paid (issued) in shares of Series E Convertible Preferred Stock.