SEC Form 4 · accession 0001193805-16-004429
RMG Networks Holding Corp · RMGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Dec 29, 2016
Accepted (ET)
Dec 29, 2016 · 4:37 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001512074
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.0001 per share | Dec 29, 2016 | X | 1,819,219 | $0.62 | A | 10,485,885 | D | |
| Common Stock, par value $0.0001 per share | Dec 29, 2016 | P | 1,828,445 | $0.62 | A | 12,314,330 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (right to buy) | $0.62 | Dec 29, 2016 | X | 1,819,219 | D | Nov 30, 2016 | Dec 27, 2016 | Common Stock | 1,819,219 | 0 | D |
Explanation of responses
- F1Reflects the exercise of subscription rights held by DOOH Investments and DRW Commodities, as applicable, pursuant to the Issuer's rights offering announced on November 30, 2016.
- F2Reflects the purchase of shares of Common Stock pursuant to the Standby Purchase Agreement (the "Purchase Agreement"), dated as of November 30, 2016, among DRW Commodities, LLC, 2012 DOOH Investments LLC, the Reporting Person and the Issuer. On December 21, DRW Commodities, LLC assigned its right to purchase Common Stock pursuant to the Purchase Agreement to the Reporting Person.