SEC Form 4 · accession 0000899243-18-000823
RLJ ENTERTAINMENT, INC. · RLJE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
JH Evergreen Management, LLC
10% Owner
Period of report
Jan 5, 2018
Accepted (ET)
Jan 9, 2018 · 5:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001546381
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 5, 2018 | S | 509,367 | $4.25 | D | 0 | I | By JH Partners Evergreen Fund, L.P. |
| Common Stock | Jan 5, 2018 | S | 68,189 | $4.25 | D | 0 | I | By Forrestal, LLC |
| Common Stock | Jan 5, 2018 | S | 68,889 | $4.25 | D | 0 | I | By JH Investment Partners III, L.P. |
| Common Stock | Jan 5, 2018 | S | 31,650 | $4.25 | D | 0 | I | By JH Investment Partners GP Fund III, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D-1 Convertible Preferred Stock | $3.00 | Jan 5, 2018 | S | 5,618 | D | Oct 14, 2016 | May 20, 2020 | Common Stock, par value $0.001 per share | 2,173,638 | 0 | I |
| Series D-1 Convertible Preferred Stock | $3.00 | Jan 5, 2018 | S | 752 | D | Oct 14, 2016 | May 20, 2020 | Common Stock, par value $0.001 per share | 290,985 | 0 | I |
| Series D-1 Convertible Preferred Stock | $3.00 | Jan 5, 2018 | S | 760 | D | Oct 14, 2016 | May 20, 2020 | Common Stock, par value $0.001 per share | 293,978 | 0 | I |
| Series D-1 Convertible Preferred Stock | $3.00 | Jan 5, 2018 | S | 349 | D | Oct 14, 2016 | May 20, 2020 | Common Stock, par value $0.001 per share | 135,092 | 0 | I |
| Warrants | $1.50 | Jan 5, 2018 | S | 561,829 | D | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 561,829 | 0 | I |
| Warrants | $1.50 | Jan 5, 2018 | S | 75,212 | D | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 75,212 | 0 | I |
| Warrants | $1.50 | Jan 5, 2018 | S | 75,986 | D | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 75,986 | 0 | I |
| Warrants | $1.50 | Jan 5, 2018 | S | 34,918 | D | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 34,918 | 0 | I |
Remarks
The reporting person is the sole general partner or manager of each of the entities noted in Table I, Item 7 and Table II, Item 11. The reporting person disclaims beneficial ownership of the shares reported except to the extent of its pecuniary interest therein.