SEC Form 4 · accession 0001140361-15-021597
RLJ ENTERTAINMENT, INC. · RLJE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert L Johnson
Officer — Chairman of the Board · Director · 10% Owner
Period of report
May 20, 2015
Accepted (ET)
May 22, 2015 · 5:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001546381
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B-2 Convertible Preferred StockF1 | $1.00 | May 20, 2015 | A | 15,000 | A | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 15,000,000 | 15,000 | I |
| WarrantsF1 | $1.50 | May 20, 2015 | A | 4,500,000 | A | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 4,500,000 | 4,500,000 | I |
Explanation of responses
- F1The shares reported herein are held in the name of RLJ SPAC Acquisition, LLC. The Reporting Person, in his capacities as the sole manager and sole voting member of The RLJ Companies, LLC, the sole manager and sole voting member of RLJ SPAC Acquisition, LLC may be deemed to be the beneficial owner of the securities reported herein. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.